Generalist Compliance Officer
13th June 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.Apply Now
- 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.
- 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 email@example.com for more information.