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Alcentra Limited ("Alcentra") is a leading investment management firm dedicated to serving sophisticated fixed income sub-investment grade corporate debt investors. Alcentra is backed by the strength and resources of the global leader in financial services, BNY Mellon. Our investment strategies span secured loans, high yield bonds, direct lending and mezzanine finance, distressed debt and special situations, and structured credit. These are complemented by a demonstrated ability to design innovative, effective solutions to satisfy our clients' needs.
The Role We are currently recruiting for a Compliance Monitoring Manager to join our team. The role will entail:
Perform detailed monitoring reviews in accordance with the internal risk-based monitoring programme based on emerging risks and applicable FCA rules and regulations;
Highlight findings from monitoring work performed to the Head of Compliance in a timely manner and, work with the business to bottom out the issues and agree appropriate actions to address these;
Ensure that any adverse findings or those requiring follow-up are dealt with promptly and satisfactorily in liaison with relevant staff within the business and all relevant issues closed out satisfactorily;
Monitor the status of implementation of corrective action and where issues are not implemented in line with agreed timelines escalate to the Head of Compliance;
Assist in enhancing current compliance monitoring statistics (MI) as both a management tool and as a mechanism to identify potential increases / decreases in the risks the company faces (amending the compliance monitoring programme where necessary);
Ensure all compliance principles, policies and procedures are clearly defined and regulatory developments are proactively appraised and communicated;
Undertake Client Due diligence and AML checks on new clients before on-boarding clients;
Monitor AML regulatory initiatives and ensure that AML policies and procedures comply with applicable current legislation and with group (BNYM) policies;
Perform general compliance tasks as well as involvement in ad hoc compliance projects;
Draft and update processes and procedures as required;
Qualifications The successful candidate will likely possess the following (or equivalent qualifiers):
Strong experience or understanding of the asset management industry;
Proven prior experience working within Compliance Monitoring and AML roles;
Good knowledge of FCA rules or equivalent as applicable to a UK asset management environments and excellent knowledge of financial promotions and funds distribution elements
Good understanding of structure and requirements relating to European domiciled UCITS Funds and / or alternative funds, and practical experience of at least one of UK, Luxembourg, or Dublin domiciled Funds;
Strong background in anti-money laundering compliance across a asset management industry;
A strong knowledge of corporate governance practice.
How to Apply If your profile matches the above requirements and you're looking to join an award winning investment management firm, please submit your CV.
For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments & safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark: bnymellon.com/careers.
As one of the world's leading investment management organizations and one of the top U.S. wealth managers, BNY Mellon Investment Management combines agility, insight and scale to create and deliver strategies and solutions to address our clients' needs. Encompassing BNY Mellon's investment management firms, wealth management organization and global distribution teams, we draw on deep expertise to collaborate with clients and tailor our best ideas and resources to meet their specific needs. We pride ourselves on providing dedicated service through our network of global professionals who have a deep understanding of local requirements. With our extensive experience in anticipating and responding to the investment and financial needs of the world's governments, pension plan sponsors, corporations, foundations, endowments, advisors, intermediaries, individuals and families, and family offices, BNY Mellon Investment Management is dedicated to helping clients reach their goals.
BNY Mellon is an Equal Employment Opportunity Employer.