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The incumbent is leaving the business to embark on an extended travelling holiday with their family, which has necessitated our requirement to find a replacement. In addition, as a result of continued growth of the business, we have taken the decision to move the Compliance Manager role to full-time.
The role has one full-time direct report.
Reporting to the COO and a part-time Compliance Officer (ex Apax and FCA), the role will be responsible for:
Mainspring's regulatory compliance and monitoring thereof,
Compliance service to Mainspring's Clients, currently comprising AML/KYC, CoSec and Safeguarding, and
Payment services B/A signatory.
The role is primarily based in London but will require travel occasionally to client's premises, also typically in London.
Essential: At least 5 years' experience in compliance in investment firms or equivalent to it.
Essential: Have solid knowledge compliance experience gained in either an Asset Manager or Private equity
Essential: Have solid knowledge of the CASS rules
Essential: Track record of innovation, continuous improvement.
Essential: Proficiency in MS Office software, i.e. Word, Outlook, PowerPoint, Excel etc