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Job Description
You will support the monitoring and oversight of a portfolio of Appointed Representatives (ARs) and Alternative Investment Funds (AIFs), ensuring activities are conducted in line with regulatory expectations and internal compliance frameworks. You will assess and manage risks through structured monitoring, stakeholder engagement, and detailed reporting, while contributing to the team’s overall objectives and maintaining strong regulatory awareness within the investment management environment.
What you will do
- You will conduct ongoing compliance monitoring in line with the Compliance Monitoring Framework, ensuring AR and fund activities are reviewed regularly and risks are identified and escalated where necessary
- You will build and maintain strong relationships with a portfolio of Appointed Representatives, supporting their needs while identifying potential risks, compliance concerns, or offboarding indicators
- You will monitor funds and investment management mandates, liaising with both internal teams and external stakeholders to ensure effective oversight of investment management relationships
- You will prepare monitoring reports, committee materials, and risk assessments, ensuring accurate documentation and management information (MI) is produced in accordance with the Risk Management Framework
- You will contribute to the Monitoring team’s business objectives by collaborating with RegCom and wider teams, maintaining strong record-keeping practices, adhering to policies and procedures, and continuously enhancing your regulatory knowledge and professional development
What we offer
- Comprehensive remuneration: Motivating financial packages based upon market rates for your role and is proportionate to your qualifications, level of experiences and skills profile
- Pension Scheme: Generous employer contribution with the ability to allow and increase employee contributions
- Wellbeing: Additional social benefits such as private health and dental cover, life assurance, discounted gym membership, eye test and corporate GP
- Annual leave: All our employees are entitled to 25 days paid leave, plus all UK public holidays. Enhanced maternity and paternity, including shared parental leave and adoption leave
- Flexible working: We recognise the value of working flexibly and is keen to ensure all employees enjoy an excellent work-life blend. As such, we are open to conversations with employees related to setting up flexible working arrangements
- Support and development: We will ensure you have the right training, tools and development plan to grow and improve your skills every day
Qualifications
- You will have 3+ years’ experience undertaking compliance monitoring within financial services, ideally with a focus on asset management
- You will hold a bachelor’s degree in accounting, finance, law, or a related field, or possess relevant professional industry qualifications
- You will demonstrate experience within the investment fund industry, including knowledge of AIFMD and policies and processes for alternative investment funds and wealth management
- You will possess strong time management and organisational skills, with the ability to manage multiple monitoring mandates effectively
- You will have excellent written and verbal communication skills, enabling effective interaction with both internal stakeholders and external Appointed Representatives
Additional information
Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment.
There is always more we can, and should do, to improve – whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.
Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 5,800+ employees - from 94 nationalities, across 25 countries - to each achieve their potential. Through IQ-EQ Launchpad we support women managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.
We’re committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients’ sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.
Company description
We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce of 5,800+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$750 billion. We work with 13 of the world’s top-15 private equity firms.
Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts.
Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding.
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