A Global Private Equity Firm are looking for a Compliance Manager to support them for an initial 8-month period to cover a maternity leaver in the team for a period of time. The firm are looking for a strong Compliance Generalist to join them as soon as possible and would require the successful candidate in the office 4-days a week.
Key Responsibilities
- Maintain and enhance compliance policies, procedures, and governance frameworks across the firm.
- Monitor regulatory developments and translate changes into practical guidance and implementation plans.
- Support compliance monitoring activities, including marketing, communications, and conduct risk surveillance.
- Lead projects to improve compliance efficiency, controls, and operational processes.
- Assist with regulatory reporting, disclosures, and responses to regulator enquiries.
- Support anti-financial crime initiatives, including AML/CTF and fraud prevention obligations.
- Review and approve financial promotions, investor materials, DDQs, website content, and marketing communications.
- Ensure compliance with FCA, SEC, ESMA, and other relevant marketing and financial promotion regulations.
- Conduct regulatory horizon scanning and support implementation of regulatory change across policies, controls, and training.
- Support enterprise risk management activities, including risk assessments, reporting, third-party risk management, and incident management processes.
Key Requirements
- Preferably, a Bachelor’s degree or equivalent professional qualification in law, finance, business, or a related field.
- Strong prior experience within a similar compliance function in the alternative asset management or private fund sector is essential.
- Knowledge of the regulatory environment impacting private fund managers in the UK, US, and EU.
- Strong understanding of risk management frameworks and internal control environments.
- Proven ability to interpret complex regulatory requirements and translate them into practical, commercially focused solutions.
- Ability to work in a London based office, 4-days a week
If you feel you are suitable and keen to learn more, please apply with your most relevant CV and we will be back in touch if we are keen to discuss further.