Generalist Compliance Officer

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.