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Description
Who we are:
Cloud Capital is a global specialist investment management firm focused on acquiring, managing, and operating high-quality data centres. With offices in London and other international locations, the firm combines investment expertise with disciplined operational oversight.
The Compliance Assistant
The Compliance Assistant will support the firm’s compliance function across both UK and US regulatory frameworks. The role offers exposure to a broad range of regulatory activities, including FCA requirements and SEC Registered Investment Adviser (RIA) obligations.
Key Responsibilities
- Assist in monitoring compliance with FCA rules and SEC RIA requirements.
- Support the maintenance and review of compliance policies and procedures.
- Support compliance monitoring tasks, including any actions or follow ups.
- Assist with regulatory filings and submissions (e.g., FCA returns, Form ADV updates).
- Maintain compliance registers (e.g., gifts and entertainment, conflicts of interest, breaches, complaints).
- Support compliance onboarding and periodic review processes.
- Assist with internal audits, regulatory reviews, and external compliance examinations.
- Support global marketing compliance.
- Coordinate training, and maintain attendance records, including annual compliance, cybersecurity and ESG training.
- Support the preparation and distribution of compliance communications and awareness materials.
- Prepare regular compliance MI and status reports for the VP of Compliance.
- Support the preparation of agendas / meeting packs for Risk Committees.
- Support the COO/VP of Compliance with administration and project work.
- Liaise with colleagues across the business to obtain information and follow up on compliance tasks.
- Carry out ad hoc compliance-related duties as required.
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Required Experience
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- Strong organisational skills and attention to detail.
- Confident user of Microsoft Excel, Word, Outlook, and PowerPoint.
- Ability to manage multiple tasks and meet deadlines.
- Clear written and verbal communication skills.
- A proactive and professional approach with a strong sense of discretion.
- Ability to work independently and as part of a team.
Desirable
- Understanding of FCA regulatory framework; exposure to SEC RIA requirements is advantageous but not essential
- Previous work experience in a compliance or financial services environment
- Experience preparing management information or compliance reports.
- Interest in pursuing a compliance career path.
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