Compliance Officer
Location: London
Reporting to: Chief Compliance Officer
About the Firm
Our client is a leading alternative asset management firm specialising in credit investments across public and private markets. Their strategies span performing and opportunistic credit, structured finance, asset-backed lending and private debt, serving a sophisticated global institutional investor base.
The Opportunity
Our client are seeking a Compliance Officer to join their London Compliance team. This is an excellent opportunity for a compliance professional with 4–8 years' experience gained within an alternative investment manager, hedge fund, private credit manager or investment management firm.
The successful candidate will play a key role in supporting the firm's compliance framework across its UK and European regulated activities. Working closely with the Chief Compliance Officer and senior stakeholders across the business, the role offers broad exposure to investment, trading, investor relations, operations and legal teams.
Key Responsibilities
- Assist in the day-to-day operation of the firm's compliance programme.
- Monitor compliance with FCA regulatory requirements and internal policies.
- Provide compliance advice to investment professionals and business stakeholders on regulatory matters.
- Review and approve financial promotions and external marketing materials.
- Manage personal account dealing, gifts and entertainment, conflicts of interest and outside business interests.
- Perform trade surveillance and market abuse monitoring, including MAR-related controls.
- Support compliance monitoring reviews and thematic testing.
- Assist with regulatory reporting and FCA filings where required.
- Deliver compliance training to employees and contribute to the firm's compliance awareness programme.
- Support regulatory change initiatives and implementation of new regulatory requirements.
- Assist with due diligence requests from institutional investors.
- Maintain and update compliance policies, procedures and registers.
- Support internal and external audits and regulatory enquiries.
- Liaise with external compliance advisers, legal counsel and service providers where appropriate.
Candidate Profile
The successful candidate is likely to have:
- 4–8 years' compliance experience within an investment management, alternative asset management, hedge fund or private markets environment.
- Strong understanding of the UK regulatory framework, including FCA Handbook requirements applicable to investment managers.
- Good knowledge of market abuse regulation, conflicts management, financial promotions and conduct risk.
- Experience supporting investment teams trading fixed income, credit or private debt products would be advantageous.
- Familiarity with AIFMD and broader European regulatory requirements is desirable.
- Experience of compliance monitoring programmes and regulatory risk assessments.
- Excellent written and verbal communication skills.
- Strong organisational skills with the ability to manage multiple priorities.
- Commercial judgement and the confidence to engage with senior stakeholders.
- High attention to detail and a pragmatic, solutions-oriented approach.
If you believe you have the skills and experience to excel in this role and contribute to the firm’s continued success, we encourage you to apply.
For more details, please contact Jon Pettet at jon.pettet@blackswangroup.com