Job title: Compliance Vice President Europe
Job type: Permanent
Emp type: Full-time
Industry: Asset Management
Job published: 05-02-2024
Job ID: 33427

Job Description




Compliance Vice President Europe


The purpose of the role is to offer strategic guidance for the unit's operations and actively contribute to ensuring compliance with product initiatives. You will build a notable presence in alternative asset management compliance by participating in industry working groups and related initiatives.

The role acts as Head of European Compliance teams and supervises 6 people based in Luxembourg, the UK and Germany.


Your responsibilities:


Responsibilities include overseeing compliance monitoring, supporting marketing efforts, conducting compliance training, developing, and implementing new policies and procedures, as well as performing forensic testing. Additionally, the position involves monitoring business activities to ensure adherence to Company policy, securities laws, SEC, FINRA, state insurance regulations, and relevant foreign regulations.


  • Supporting the enforcement of internal policies
  • Partnering with private businesses to proactively recommend supervisory procedures and compliance policies and procedures.
  • Coordinate with the other Compliance Vice Presidents in the region to deliver the Compliance Risk Management Program, which entails the management of the regional monitoring and testing regime.
  • Work within the region, leveraging the firms resources in Letterkenny to expand and develop the global financial crimes program.
  • Lead the provision of support and advice to the business and compliance colleagues on all regulatory matters.
  • Incorporate regulatory or corporate changes into guidance for the business unit and support the enforcement of all applicable regulatory policies applicable to the business unit.
  • Conduct/support continuing education including new hires, topic-specific and annual training policy, and regulatory matters to maintain compliance awareness.
  • To design monitoring and oversight programs and to carry out the compliance monitoring program to establish ongoing compliance with internal and regulatory requirements.
  • To manage the due diligence on clients, counterparties, and potential joint venture partners for purposes of general know-your-client, anti-money-laundering, and anti-corruption requirements.
  • To assist with trade monitoring for the units public real estate securities operations using in-house and external guideline monitoring systems.
  • To assist in the maintenance of compliance databases, including approved persons, marketing, and code of ethics.
  • Support the marketing function by reviewing marketing materials and other related materials for consistency with Real Estate and Private Equity, corporate policy, and regulatory requirements.
  • Liaison with global entities and external agencies as deemed necessary.
  • The collection and collation of information required for senior management reporting.
  • To protect the integrity and reputation of the Company and to develop a positive compliance culture.



Your profile:


  • Experience in European financial regulation and markets and a genuine interest in global compliance concerns.
  • Experience in, and a good understanding of alternative asset classes (real estate, debt) and/or private fund structures.
  • Minimum of 10 years of experience working in compliance.
  • Excellent communication skills in English (both written and verbal).
  • Work effectively and commercially with business stakeholders ensuring an effective compliance culture.
  • A strong team player who is inquisitive, self-motivated, and industrious.
  • A good communicator, oral and written, and enjoy working closely with other people.
  • Detail-orientated, able to set priorities and complete simultaneous projects.
  • Ability to meet tight deadlines whilst maintaining a high quality of work.
  • High motivation and initiative.
  • Excellent project and time management skills.
  • Ability to assess, investigate, and interpret issues.
  • Candidate must possess a high level of integrity.




On occasion, an offer of employment may be subject to a verification check. In this case, a potential employer may ask you to provide documentation to support your application, this can include copies of educational achievements, international criminal record checks, reference checks, employment history, etc.

Could this be the right opportunity for you? Please do not hesitate to send your CV to Agnieszka Parisse to be considered for this recruitment process.

Your application will be treated with the utmost discretion.  We take your privacy as our utmost concern and we manage your data with the highest degree of confidentiality. Before applying to any of our opportunities, we invite you to read our privacy policy, available on our website.