Compliance Manager

About this role

One Ten Associates are partnering with a private debt fund, who is seeking a Compliance Manager to take ownership of its day-to-day compliance and risk responsibilities.

Working closely with senior leadership and the wider business, the successful candidate will have overall responsibility for developing the compliance programme as the business expands.

Key Responsibilities

• Develop and manage the compliance monitoring programme, maintaining the firm’s policies, procedures and governance documentation.
• Manage UK and US regulatory requirements, including regulatory reporting, horizon scanning and liaising with the relevant regulators.
• Oversee AML, KYC and financial-crime controls across investor and counterparty onboarding.
• Manage trading and employee-compliance controls, including restricted lists and personal-account dealing.
• Build and oversee the firm’s risk-management framework, including its ICARA, risk register, operational controls and senior-management reporting.

Requirements

The position would suit a compliance generalist with approximately three to six years’ relevant experience, having worked within an investment manager or a leading compliance consultancy.

Exposure to private debt, private credit or wider private markets would be particularly valuable. The successful candidate should be comfortable working independently, taking ownership and building processes within a growing business.

Experience in risk management would be advantageous, particularly in relation to ICARA requirements and the development of risk-management frameworks.

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