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Compliance Associate
Quinbrook Infrastructure Partners
Quinbrook is a specialist investment manager focused exclusively on the infrastructure needed to drive the energy and digital transitions. Led and managed by a senior team of energy industry professionals, Quinbrook is an accomplished asset creator and business builder that conceives, develops, constructs and operates a diverse array of innovative infrastructure projects and growth platforms.
Since its founding in 2015, Quinbrook has invested in energy infrastructure assets and businesses representing a total transaction value exceeding USD 27 billion spanning large-scale renewable power generation, biofuels production, long duration storage, hyperscale data centre infrastructure, AI powered asset optimisation, grid support and flexibility solutions in North America, the UK/Ireland and Australia.
Quinbrook has offices in London, New York, Houston and Brisbane, Australia.
For more information, please visit www.quinbrook.com
The Role
This is a newly created role based in London. The Compliance Associate will support the Global Head of Compliance in implementing the Global Compliance Program.
Compliance oversees and manages Quinbrook’s compliance and regulatory functions and program. Under the leadership of the Global Head of Compliance, the Compliance Department operates with a global focus, including all global regulatory matters related to investment adviser compliance, global policies and central compliance and oversight functions, financial crime prevention and supporting the firm’s investment activities.
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Quinbrook has investment adviser licences in the UK, US and Australia, and a registered FINRA US Broker Dealer.
Responsibilities
- Support the administering of Quinbrook’s investment adviser entities globally, including required filings
- Help manage the Compliance Manual, Code of Ethics, Conflicts of Interest policies and other compliance policies and processes
- Be a point of contact for all Compliance system related queries and manage the system, processing and escalating pre-clearance requests related to business gifts and entertainment, employee outside business activity and political contributions
- Support the onboarding of new employees into the Compliance program including, i) new hire access activation; ii) new hire training and disclosure form tracking; iii) tracking current employee statuses for certifications/access maintenance; and iv) tracking temporary workers
- Work with and coordinate global service providers including compliance consultants, legal advisors, third-party Luxembourg AIFM and fund administrators
- Conduct AML screening on potential investments and/or counterparties
- Assist in the management and review of third-party administrators undertaking delegated regulated functions, such as KYC checks on fund investors and privacy requirements
- Participate in Compliance program initiatives, projects, etc. beyond core responsibilities
- Review financial promotion materials
- Identify exceptions to policies and escalate as appropriate for further analysis to address root cause assessment
- Act as a daily resource to Quinbrook’s global employee base on compliance questions and issues
- Help maintain internal procedures and training materials that are critical to the effectiveness and continuity of the Compliance program
- Help maintain, track and report key performance indicators/ for the team and produce management report
- Assist with intake requests for record retention and data management
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Experience
- 3 - 5 years of compliance and/or paralegal experience gained within the private markets investment management sector
- Proficiency with Microsoft Office Suite (Excel, Word, Powerpoint)
Attributes
- Well organised, thoughtful, attentive to detail, analytical, self-motivated, and solutions orientated, able to work in teams under high pressure and contribute to a collaborative environment
- Excellent written and verbal communication and interpersonal skills, the ability to foster relationships globally
- Enjoys a fast-paced environment with changing and evolving responsibilities
Academic Requirements
- Bachelor's degree in law, finance, business administration or a related field
- Good knowledge of regulatory industry standards, laws and regulations in the US and UK
- Compliance Certificate considered a plus
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