Job Description

What it's about

In 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

• Lead and support the design, implementation, and ongoing enhancement of the compliance framework for the London office.
• 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.
• Lead on Client Money and Assets (CASS) processes.
• Identifying, understanding and interpreting UK financial services legislation and regulation (with a particular focus on public markets regulatory topics).
• Provide day-to-day compliance advice to business teams on regulatory matters affecting investment, distribution activities and financial promotions.
• Advise stakeholders on regulatory change and help coordinate implementation of new or amended regulatory requirements.
• Draft management information reports and assisting with the firms' corporate governance – e.g. advising boards of directors.
• Provide guidance on public markets investment activities, including best execution, allocation and market abuse monitoring
• Support regulatory reporting, filings, and interactions with relevant regulators and external stakeholders where required.
• Oversee compliance monitoring reviews and thematic assessments, ensuring issues are identified, escalated and remediated appropriately.
• Support the development, maintenance, and periodic review of compliance policies, procedures, and controls.
• Lead on compliance risk assessments and contribute to the annual compliance risk assessment.
• Provide guidance and training to employees on compliance policies, regulatory obligations, and conduct expectations.
• Maintain appropriate records and documentation to evidence compliance oversight and decision-making.
• Support investigations, breaches, incidents, and control issues, including root cause analysis and remediation tracking.

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