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