Compliance Senior Associate – Private Equity

My client is a London-based investment firm specialising in growth capital and private equity. Due to a highly successful run of years and the present Compliance team switching their focus to more international areas, an opportunity has arisen to look after the firm’s UK Compliance.

This is a fantastic opportunity designed to succeed as you’ll be working alongside the person who previously did this role.

The role

• Regulatory filings and ongoing FCA reporting
• Maintenance of the compliance manual, policies and procedures
• Oversight of investor, borrower and counterparty KYC processes
• Compliance monitoring, testing and remediation across the programme
• Preparation for audits and operational due diligence reviews
• Management of compliance registers (conflicts, breaches, PAD, gifts & entertainment, OBAs, etc.)
• Coordination of compliance training and staff declarations
• Implementation of new and evolving regulatory requirements
• Day-to-day management of compliance activities and key processes
• Line management of the Compliance Analyst

The Candidate

• At least 5 years of generalist Compliance experience in UK Alternative Investments.(this is non-negotiable)
• Very strong relevant academics such as Law, Finance or Business
• Excellent communication skills and time management skills.

This role is 4 days in the office and 1 working from home.