What it's about
In your role you will be responsible for working closely with Partners Group's Head of Compliance UK in ensuring that Partners Group's two FCA-licensed firms comply with their legal and regulatory obligations under the UK financial services regime. You will work as part of a team of two responsible for the UK and as part of a global team. The UK compliance function is responsible for all aspects of regulatory compliance on behalf of an alternative investment fund manager ("AIFM") and a MiFID investment firm. Your main responsibility will be for the MiFID investment firm. This is a broad role in which you are expected to take ownership for your work. It consists of a mixture between providing regulatory advice, performing hands-on compliance tasks, dealing with policy matters and working on new regulatory implementation projects. Partners Group is a growing, dynamic fund management group, which translates into a challenging working environment with numerous opportunities to expand your domestic and international regulatory knowledge and experience.
Responsibilities
- Lead and support the design, implementation, and ongoing enhancement of the compliance framework for the London office.
- Act as a subject matter expert on MiFID entity and provide support for an AIFM entity, including interpretation of requirements and practical application to business processes.
- Lead on Client Money and Assets (CASS) processes.
- Identifying, understanding and interpreting UK financial services legislation and regulation (with a particular focus on public markets regulatory topics).
- Provide day-to-day compliance advice to business teams on regulatory matters affecting investment, distribution activities and financial promotions.
- Advise stakeholders on regulatory change and help coordinate implementation of new or amended regulatory requirements.
- Draft management information reports and assisting with the firms' corporate governance – e.g. advising boards of directors.
- Provide guidance on public markets investment activities, including best execution, allocation and market abuse monitoring
- Support regulatory reporting, filings, and interactions with relevant regulators and external stakeholders where required.
- Oversee compliance monitoring reviews and thematic assessments, ensuring issues are identified, escalated and remediated appropriately.
- Support the development, maintenance, and periodic review of compliance policies, procedures, and controls.
- Lead on compliance risk assessments and contribute to the annual compliance risk assessment.
- Provide guidance and training to employees on compliance policies, regulatory obligations, and conduct expectations.
- Maintain appropriate records and documentation to evidence compliance oversight and decision-making.
- Support investigations, breaches, incidents, and control issues, including root cause analysis and remediation tracking.
What we expect
- Strong experience (min 10 years) in a compliance role within asset management, private markets, investment management, or a similar regulated financial services environment.
- Demonstrable expertise in MiFID and AIFMD, including their impact on investment firms, marketing, distribution, governance, and investor protection requirements.
- Experience in collaterised loan obligation products is an advantage.
- Demonstrable expertise in MiFID and AIFMD, including their impact on investment firms, marketing, distribution, governance, and investor protection requirements.
- Familiarity with compliance monitoring, regulatory change management and incident escalation processes.
- Understanding of governance, conflicts of interest, personal account dealing, market abuse and insider information controls.
- Ability to interpret regulation and translate technical requirements into clear, actionable guidance for business teams.
- Team player and collaborative approach with other business teams is a must.
- Self-motivated, proactive, intellectually curious individual with strong desire to learn and succeed.
- A small amount of travel may be necessary but is not a core part of the role.
What we offer
Partners Group is a global financial institution that retains the culture, pace, and agility of a start-up. As a growing firm, we are committed to attracting, developing, and retaining the very best talent by offering a workplace where results are truly recognized and rewarded.
We offer a fantastic opportunity for you to grow and develop your career:
- Professional, international working environment
- Challenging, rewarding career within a growing company
- Collaborative atmosphere, with on-the-job training and mentorship opportunities
- Competitive compensation package, including contract completion bonus
Please be aware, fraudsters may pose as Partners Group recruiters. All genuine representatives can be identified by a verified sign on their LinkedIn profiles. If you suspect fraud or have doubts, contact us immediately at [email protected]
