CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Maldon Partners are recruiting a Compliance role on a permanent basis for an Alternative Investment Management firm based in Mayfair. The role has been created due to expansion and will work directly alongside the Chief Compliance Officer.
The firm has c450 employees globally with offices in Europe, The Middle East and The USA offering business lines which include Private Equity, Credit Management, Real Estate and Absolute return Investments.
Due to its increased growth the firm is looking for an experienced Compliance professional to work alongside the CCO in ensuring the firm meets all its global regulatory obligations (FCA, SEC and AIFMD).
Responsibilities will include but not be limited to:
Ensuring that the firm submits on a timely basis all required reports through GABRIEL.
Assist with applicable SEC filings i.e Form ADV
Ensure that the firm submits all required AIFMD reports
Periodic Compliance monitoring
Maintaining and updating compliance manuals, policies and procedures
Approval of PA Dealing requests and gifts and entertainment
Ensure all employees in need of controlled functions are approved by the FCA
Responsible for the completion of routine AML & KYC and any other on-boarding tasks
Provide advice and guidance to the wider business
Review marketing material and fin pros
Assist with the preparation of board reports
Assist in the execution of ad hoc compliance projects as required.
In order to apply for the Compliance role, you MUST have:
A minimum of 3years generalist compliance experience gained within an Asset Management/ Investment Management or Private Equity Firm is ESSENTIAL
A strong understanding of FCA rules and regulations
Previous experience of European credit investments (CLO's) is desirable
A bachelor's degree ideally in Law or another appropriate discipline
UK Compliance qualification is desired but not essential
Excellent knowledge of MS Office skills in Word, Excel and PowerPoint
The Compliance role has a base salary of c£50,000 – £75,000 depending on experience and is based in Mayfair. The company also offers an excellent package and bonus scheme.
*Please note that only candidates who meet the above criteria will be contacted.