Full Time - Compliance - Paris, FR
Alvarium Investment Advisors (France) is a Portfolio Management Company for high-net-worth clients and is part of the Alvarium group.
Alvarium is a global multi-family office, co-investment partner and merchant banking boutique providing tailored solutions for families, foundations and institutions across the Americas, Europe and Asia-Pacific. The firm specialises in being the trusted adviser to clients with complex needs, providing institutional quality advice, investment and risk management using the full spectrum of public and private markets. Alvarium also offers direct co-investment opportunities from specialist managers focusing on alternatives and real assets to highly sought-after managers, companies and opportunities in the innovation economy.
Alvarium has over 220 employees and 28 Partners advising on circa $22 billion of assets across four service lines — investment advisory, co-investments, merchant banking and family office services.
Alvarium has recently announced plans to merge with a US investment and wealth advisor firm in early 2022. The combined business, Alvarium Tiedemann Holdings (AlTi) is expected to be valued at $1.4 billion, to have combined assets under management of over $50 billion and be listed on Nasdaq and will have access to substantial capital for further investments. The focus will remain on high net-worth individuals across North America, Europe and Asia Pacific with a focus on impact or values-aligned investing.
This is an exciting opportunity for a technically strong candidate to work within Alvarium Investment Advisors (France). You will initially be hired as the Compliance Officer reporting to the Head of Compliance and Internal Controls (RCCI). Once the RCCI card is obtained from the AMF, you will assume the role.
• Create the annual plan for permanent and periodic controls
• Undertake the permanent controls plan
• Evaluate the compliance of procedures, policies, agreements and contracts, and commercial documents
• Regularly update procedures and policies
• Communicating with the supervisory authorities and guaranteeing the reliability, integrity and consistency of the information transmitted
• Input into the monitoring programme including local risk assessment and liaise closely with the International Compliance Monitoring Team
• Undertake regulatory horizon scanning, analyse and assess regulatory change, liaising with the Business to amend internal tools and procedures
• Analysis of incidents and defining the corrective measures
• Undertake training and raise staff awareness of risk management
• Advise and assist operational staff on compliance issues
• Ensuring regular reporting to the company's management
• Work in liaison with the Chief Compliance Officer, the Head of International Wealth Management Compliance, the Risk Director, the Head of International Compliance Monitoring
QUALIFICATIONS AND COMPETENCIES
• The candidate must have a minimum of 5 years' experience in an asset management company, the AMF, or an external consultancy/audit firm working with asset management companies.
• The candidate has a good knowledge of the regulations applicable to management companies (AIFM, UCITS, MIFID2, SFDR, RGPD, FATCA, etc.).
• Fluency in English is essential.
• The candidate must have excellent interpersonal, writing and analytical skills and enjoys working in a team environment.
• Experience of international wealth management would be desirable.
• Knowledge of Swiss and/or Portuguese and/or Italian financial services regulations would be an advantage.