• Anywhere


Lucy Adam

** full or part time – hybrid

We have a rare opportunity available for a Compliance Officer to head up all things regulatory for a privately owned property fund manager specialising in healthcare real estate. Not only is there an opportunity to make sure that compliance is high on the agenda for the organisation, there is the opportunity to deliver a full range of compliance advice and management dealing with senior execs on a daily basis. The team care passionately about what they do and many of the senior management team have been with the business since it started about 13 years ago.

The opportunity could be part time three or four days a week or it could be full time if somebody has additional skills and experience that will add value to the business in fields including strategy and operations, IT, marketing and Comms, finance, HR etc. We can discuss possible working arrangements with individuals dependent on their experience and preferences.

Key responsibilities include
• Providing advice and guidance on regulatory related matters.
• Developing a programme of risk based monitoring .
• Keeping abreast of regulatory developments and implementing necessary changes (MiFID II, PRIIPs and SM&CR).
• Liaison with regulators and other third parties.
• Reviewing, updating and communicating policies and procedures.
• Provision/arrangement of relevant regulatory training to staff.
• Compliance reporting to Management.
• Member of Conflicts Committee.
• Working with FD to cover Risk Management.

We're looking for
• Proven track record working within a broad compliance role at a senior level in investment management. Ideally held CF10 / CF11 controlled function but not essential.
• Compliance monitoring experience.
• Strong knowledge of applicable FCA regulation.
• Good understanding of anti-money laundering legislation and client due diligence

Please get in touch to discuss!

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