Compliance Officer

London Permanent £70,000 - £75,000
  • 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.

Job Description

As the Compliance Officer the role is a hybird of compliance and legal - with key accountabies as below:

Compliance Responsibilities:

  • 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

Legal Responsibilities:

  • 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.

Eithne Hynes
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Phone number
+44 20 7645 1424

Job summary

Contract type
Consultant name
Eithne Hynes
Consultant phone
+44 20 7645 1424
Job reference