3rd October 2022

Generalist Compliance Officer - £70,000 - £100,000 Contract 6 – 12 Months

London Asset Management

A leading Private Equity Fund is looking for a Compliance Professional to provide generalist compliance support. Your role will include reporting, monitoring and compliance advisory and will have a focus on regulatory developments and policy drafting. This role requires you to have buy-side experience. There are multiple opportunities within the generalist compliance sector for contract opportunities.

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Hiring Consultant

Lascelles Reid-Barlow

Consultant, Interim Compliance +44 (0) 20 7610 6442 lreid@thedanosgroup.com View profile

Responsibilities

  • Advising staff on Compliance matters to improve regulatory awareness and adherence to regulation.
  • Monitor and keep abreast of Compliance legislation and regulatory developments to interpret the impact on the business and provide guidance as required.
  • Provide approvals of PA dealing, Gifts and Entertainment and maintaining restricted lists.
  • Review Financial promotions and marketing material from a regulatory perspective.
  • Ensuring the compliance monitoring procedures and regulatory reporting procedures are kept up to date and that they continue to evolve in line with regulatory changes.
  • Assisting with and collating accurate information to ensure submission of timely regulatory filings.
  • Draft and advise on compliance policies and procedures.
  • Escalate issues to the Head of Legal or CFO and assist in the resolution of these issues.
  • Review marketing and financial promotion material to ensure regulatory compliance.
  • Review SMCR procedures including, but not limited to, Approved Person Regime and Fitness and Propriety Certification
  • Ensure sound advice on AML and other Financial Crime matters within the business.

Requirements

  • Minimum of 3 years in a similar compliance role at Private Equity, Asset Manager or Hedge Fund Manager.
  • Experience with drafting Policies and Procedures and Regulatory Developments
  • Good knowledge of the FCA regulations pertaining to Private Equity, in particular Alternative Assets.
  • Detailed knowledge of FCA compliance requirements for a MIFID/ AIFMD firm
  • Strong organisational skills

 

Please contact Lascelles Reid-Barlow at lreid@thedanosgroup.com for more information.

For all enquiries please email

info@danosconsulting.com

Generalist Compliance Officer - £70,000 - £100,000 Contract 6 – 12 Months