Advisory Compliance Manager

London, England, United Kingdom

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Not SpecifiedCompensation

Senior (5 to 8 years), Expert & Leadership (9+ years)Experience Level

Full TimeJob Type

UnknownVisa

Asset Management, Financial ServicesIndustries

Requirements

Candidates should possess a degree or equivalent level of industry and technical experience, along with sound knowledge of Alternative Funds, Structured Products Private Credit, Designated Investments, and the ability to understand and apply FCA regulations, particularly SYSC and COBS, as well as knowledge of FUND regulations. Excellent knowledge of current sustainable finance regulations in the UK and EU is required, and fluency in verbal and written communication, including influential skills, is essential.

Responsibilities

The Advisory Compliance Manager will act as a specialist advisor supporting the Aviva Investors Private Markets business area on financial services regulatory matters (excluding financial crime compliance), proactively support the Senior Compliance Advisory Manager in leading effective governance processes and robust conduct risk management, collaborate with the First Line Risk & Governance team to improve procedures and controls, deliver training to relevant staff, maintain strong connections with the wider Advisory Team, and support senior compliance leadership and contribute to strategic compliance initiatives across the business.

Skills

UK regulatory requirements

EU regulatory requirements

MiFID II

AIFMD

SFDR

Private Markets compliance

Financial services regulatory matters

Governance processes

Conduct risk management

Alternative Funds

Structured Products

Private Credit

Designated Investments

FCA regulations

SYSC

COBS

FUND

Sustainable finance regulations

Asset management compliance

Relationship building

Negotiation

Alpine Investors

Investment firm specializing in software and services

About Alpine Investors

Alpine Investors specializes in investing in software and services businesses, focusing on executing powerful transitions and scaling through change with a PeopleFirst operating philosophy. The main technologies/methods used in their product include software and services for executing transitions and scaling through change.

San Francisco, CaliforniaHeadquarters

2001Year Founded

$205.5MTotal Funding

VENTURE_UNKNOWNCompany Stage

Consulting, Enterprise Software, Financial ServicesIndustries

201-500Employees

Benefits

Health Insurance

Dental Insurance

Vision Insurance

401(k) Company Match

Flexible Work Hours

Risks

Increased competition in medical software could challenge Alpine's similar investments.

Potential talent drain as key personnel leave Alpine for other firms.

Rapid expansion of Orion Group may lead to operational challenges and integration risks.

Differentiation

Alpine's PeopleFirst strategy includes a unique CEO-in-Residence program for leadership transitions.

Alpine Investors is a Certified B Corp, emphasizing environmental, social, and governance criteria.

Alpine specializes in middle-market software and services, leveraging digital transformation trends.

Upsides

Increasing demand for digital transformation boosts Alpine's software and services investments.

CEO-in-Residence programs are gaining traction, aligning with Alpine's PeopleFirst strategy.

Alpine's focus on ESG criteria enhances its reputation and attracts responsible investors.

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