Senior Compliance Officer
London, GB
What it's about
Partners Group is a global private markets investment manager, serving over 800 institutional clients. We have USD 185 billion in assets under management and more than 2000 professionals across 24 offices worldwide.
In your role you will be responsible for working closely with Partners Group's Head of Compliance UK in ensuring that Partners Group's two FCA-licensed firms comply with their legal and regulatory obligations under the UK financial services regime. You will work as part of a team of two responsible for the UK and as part of a global team. The UK compliance function is responsible for all aspects of regulatory compliance on behalf of an alternative investment fund manager ("AIFM") and a MiFID investment firm. Your responsibility will entail oversight of the MiFID investment firm. This is a broad role in which you are expected to take ownership for your work. It consists of a mixture between providing regulatory advice, performing hands-on compliance tasks, dealing with policy matters and working on new regulatory implementation projects. Partners Group is a growing, dynamic fund management group, which translates into a challenging working environment with numerous opportunities to expand your domestic and international regulatory knowledge and experience.
Responsibilities:
- Identifying, understanding and interpreting UK financial services legislation and regulation (with a particular focus on public markets regulatory topics).
- Act as a subject matter expert on MiFID entity and provide support for an AIFM entity, including interpretation of requirements and practical application to business processes.
- Maintain oversight Client Money and Assets (CASS) processes.
- Provide day-to-day compliance advice to business teams on regulatory matters affecting investment, distribution activities and financial promotions.
- Advise stakeholders on regulatory change and help coordinate implementation of new or amended regulatory requirements.
- Draft management information reports and assist with the firms' corporate governance
- Provide guidance on public markets investment activities, including best execution, allocation and market abuse monitoring.
- Support regulatory reporting, filings, and interactions with relevant regulators and external stakeholders where required.
- Complete compliance monitoring reviews and thematic assessments, ensuring issues are identified, escalated and remediated appropriately.
- Develop, maintain and review compliance policies, procedures, and controls.
- Review and update compliance risk assessments.
- Provide guidance and training to employees on compliance policies, regulatory obligations, and conduct expectations.
- Maintain appropriate records and documentation to evidence compliance oversight and decision-making.
- Strong experience (5-8 years) in a compliance role within asset management, private markets, investment management, or a similar regulated financial services environment.
- Strong knowledge of the FCA rules and an understanding of MiFID and/or AIFMD is necessary
- Experience in collaterised loan obligation products is an advantage.
- Familiarity with compliance monitoring, regulatory change management and incident escalation processes.
- Understanding of governance, conflicts of interest, personal account dealing, market abuse and insider information controls.
- Ability to interpret regulation and translate technical requirements into clear, actionable guidance for business teams.
- Team player and collaborative approach with other business teams is a must.
- Self-motivated, proactive, intellectually curious individual with strong desire to learn and succeed.
- A small amount of travel may be necessary but is not a core part of the role.
Partners Group is a global financial institution that retains the culture, pace, and agility of a start-up. As a growing firm, we are committed to attracting, developing, and retaining the very best talent by offering a workplace where results are truly recognized and rewarded.
We offer a fantastic opportunity for you to grow and develop your career:
- Professional, international working environment
- Challenging, rewarding career within a growing company
- Collaborative atmosphere, with on-the-job training and mentorship opportunities
- Competitive compensation package, including contract completion bonus
www.partnersgroup.com
Please be aware, fraudsters may pose as Partners Group recruiters. All genuine representatives can be identified by a verified sign on their LinkedIn profiles. If you suspect fraud or have doubts, contact us immediately at hr@partnersgroup.com
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