Legal and Compliance Officer, Asset Management
- Recruiter
- Danos Associates
- Location
- London (Greater)
- Salary
- Dependent on Experience
- Posted
- 26 Feb 2021
- Closes
- 09 Mar 2021
- Job Title
- In House Counsel
- Practice Area
- Compliance, Funds, Regulatory
- Contract Type
- Permanent
- Hours
- Full Time
The client
Our client, an asset management firm located in Mayfair, are looking to hire a compliance officer with experience and expertise straddling both compliance and legal.
The role
Legal Responsibilities:
- Draft /review/negotiate transactional, corporate and commercial documents (NDAs, terms of business, term sheets, fund documentation)Company secretary: drafting minutes and resolutions, preparing meetings and meeting packs, taking minutes, maintaining corporate records
- Research: ability to research points of law and regulation, assimilate new requirements, advise on them and lead implementation of them
- Record management: good document management skills; ability to manage the execution of agreements
Compliance Responsibilities:
- Monitoring regulatory changes, identifying gaps, devising and implementing required actions
- Carrying out compliance monitoring and reporting (internally and to the regulators) per the annual programme
- Draft/ review policies and procedures
The Ideal Candidate:
- Preferably has a law degree and license, and a minimum 2 years’ experience in corporate, commercial law, or funds law
- Good knowledge of FCA regulations (AIFMD vs MIFID) (knowledge of SEC/CFTC regulations as well is a plus)
- Exposure to UCITs and Cayman and other offshore funds regimes, and private placement regimes in Europe
Due to a remote reporting line, must be a self-starter / must not require supervision