What it's aboutIn 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 <ul> <li style="font-family:arial, helvetica, sans-serif">Lead and support the design, implementation, and ongoing enhancement of the compliance framework for the London office.</li> <li style="font-family:arial, helvetica, sans-serif">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.</li> <li style="font-family:arial, helvetica, sans-serif">Lead on Client Money and Assets (CASS) processes.</li> <li style="font-family:arial, helvetica, sans-serif">Identifying, understanding and interpreting UK financial services legislation and regulation (with a particular focus on public markets regulatory topics).</li> <li style="font-family:arial, helvetica, sans-serif">Provide day-to-day compliance advice to business teams on regulatory matters affecting investment, distribution activities and financial promotions.</li> <li style="font-family:arial, helvetica, sans-serif">Advise stakeholders on regulatory change and help coordinate implementation of new or amended regulatory requirements.</li> <li style="font-family:arial, helvetica, sans-serif">Draft management information reports and assisting with the firms' corporate governance – e.g. advising boards of directors.</li> <li style="font-family:arial, helvetica, sans-serif">Provide guidance on public markets investment activities, including best execution, allocation and market abuse monitoring</li> <li style="font-family:arial, helvetica, sans-serif">Support regulatory reporting, filings, and interactions with relevant regulators and external stakeholders where required.</li> <li style="font-family:arial, helvetica, sans-serif">Oversee compliance monitoring reviews and thematic assessments, ensuring issues are identified, escalated and remediated appropriately.</li> <li style="font-family:arial, helvetica, sans-serif">Support the development, maintenance, and periodic review of compliance policies, procedures, and controls.</li> <li style="font-family:arial, helvetica, sans-serif">Lead on compliance risk assessments and contribute to the annual compliance risk assessment.</li> <li style="font-family:arial, helvetica, sans-serif">Provide guidance and training to employees on compliance policies, regulatory obligations, and conduct expectations.</li> <li style="font-family:arial, helvetica, sans-serif">Maintain appropriate records and documentation to evidence compliance oversight and decision-making.</li> <li>Support investigations, breaches, incidents, and control issues, including root cause analysis and remediation tracking.</li> </ul><style type="text/css"> .newspaper { h1 { font-size: 250%; font-family: Arial, Helvetica, sans-serif; } h2 { font-size: 200%; } p { font-size: 100%; } </style> <div class="newspaper"> </div> <div class="newspaper">What we expect <ul> <li style="font-family:arial, helvetica, sans-serif">Strong experience (min 10 years) in a compliance role within asset management, private markets, investment management, or a similar regulated financial services environment.</li> <li style="font-family:arial, helvetica, sans-serif">Demonstrable expertise in MiFID and AIFMD, including their impact on investment firms, marketing, distribution, governance, and investor protection requirements.</li> <li style="font-family:arial, helvetica, sans-serif">Experience in collaterised loan obligation products is an advantage.</li> <li style="font-family:arial, helvetica, sans-serif">Demonstrable expertise in MiFID and AIFMD, including their impact on investment firms, marketing, distribution, governance, and investor protection requirements.</li> <li style="font-family:arial, helvetica, sans-serif">Familiarity with compliance monitoring, regulatory change management and incident escalation processes.</li> <li style="font-family:arial, helvetica, sans-serif">Understanding of governance, conflicts of interest, personal account dealing, market abuse and insider information controls.</li> <li style="font-family:arial, helvetica, sans-serif">Ability to interpret regulation and translate technical requirements into clear, actionable guidance for business teams.</li> </ul> <ul type="disc"> <li style="font-family:arial, helvetica, sans-serif">Team player and collaborative approach with other business teams is a must.</li> <li style="font-family:arial, helvetica, sans-serif">Self-motivated, proactive, intellectually curious individual with strong desire to learn and succeed.</li> <li style="font-family:arial, helvetica, sans-serif">A small amount of travel may be necessary but is not a core part of the role.</li> </ul></div> <div class="newspaper"> </div> <div class="newspaper">What we offer</div> <div class="newspaper">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: <ul> <li style="font-family:arial, helvetica, sans-serif">Professional, international working environment</li> <li style="font-family:arial, helvetica, sans-serif">Challenging, rewarding career within a growing company</li> <li style="font-family:arial, helvetica, sans-serif">Collaborative atmosphere, with on-the-job training and mentorship opportunities</li> <li style="font-family:arial, helvetica, sans-serif">Competitive compensation package, including contract completion bonus</li> </ul> </div> www.partnersgroup.com <hr> 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 <a href="mailto:[email protected]?subject=HELP%20FRAUDULENT%20ACTIVITY">[email protected]</a>

Compliance Lead (London, GB) @ Partners Group AG

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