- Excellent new opportunity as a Senior Compliance Officer, for a London
- based private equity firm. Highly unique career offering for a growing business,
About Our Client
Investment Management , London.
As the Compliance Officer the role is a hybird of compliance and legal - with key accountabies as below:
- Act as the compliance officer and MLRO for the UK businesses.
- Monitoring regulatory changes, identifying gaps, devising and implementing required actions
- On-boarding (KYC) of clients and counterparties (includes meeting the onboarding requirements of external parties)
- Carrying out compliance monitoring and reporting (internally and to the regulators) per the annual programme
- Draft/ review policies and procedures
- Company secretary: drafting minutes and resolutions, preparing meetings and meeting packs, taking minutes, maintaining corporate records
- Research: ability to research points of law and regulation, assimilate new requirements, advise on them and lead implementation of them
- Draft /review corporate and commercial documents and agreements
- Record management: good document management skills; ability to manage the execution of agreements
The Successful Applicant
Qualifications and Experience for the Compliance Officer:
- Preferably law degree and license and preferably minimum 2 years' experience in corporate or commercial law
- Accounting degree or auditor training would be considered
- Good knowledge of FCA regulations (AIFMD vs MIFID) (knowledge of SEC/CFTC regulations as well is a plus)
- Exposure to UCITs offshore funds regimes, and private placement regimes in Europe
What's on Offer
Competitive salary and career opportunities.