Interim Compliance Manager - Investment Management My client is a well established Real Estate Investment Management firm based in London's West End.
Due to the organisations growth and it's plans to become regulated by the FCA as an AIFM, it has been judged that there is a short term need for a Compliance Consultant to assist with the necessary preparation.
The role shall include but not be limited to:
- Updating and Drafting Policies and Procedures
- Identifying risks and recommending mitigation
- Thematic impact assessments and projects (AIFMD, SMCR, GDPR)
- Assist in risk mapping exercises
- Keep up to date on new FCA compliance requirements
- Supporting the firms compliance programme
- Proven experience as a Compliance Manager in a firm such as Private Equity, Asset Management, AIFM or Top Investment Bank.
- Extensive knowledge of MIFID, FCA Handbook (SYSC, APER, COBS, CASS, MAR, INVPRU/BIPRU) and financial promotion rules
- Experience developing compliance policies, procedures and impact assessments
- Compliance Advisory and Monitoring experience
- AIFM experience is desirable
This role is outside IR35
This is an office based position, 5 days a week.