Compliance Manager
Venture Capital & Private Equity firm
£80K-£100K + bonus
London - Hybrid working
The role:
Ensure ongoing compliance with FCA regulations including SYSC, FUND, PRIN and COBS
Oversee and execute the Compliance Monitoring Programme
Draft, review and update compliance policies and manuals
Prepare regular compliance reports for Partners and Executive Committee meetings
Prepare, review and submit regulatory returns in RegData
Edit online compliance training modules and maintain learning portal and conduct face to face compliance induction training
Ensure compliance with financial promotions and prospectus advertisement rules and review all retail communications and business announcements
Assist with preparation of Consumer duty related materials such as product reviews, value assessments and annual governing body report
Oversight of compliance registers and investigation of breaches and complaints
Support MLRO with annual MLRO report, financial crime risk assessments and other financial crime matters
Ensure compliance with SMCR framework such as fitness and propriety assessments and regulatory references
Oversee personal dealings administration and monitoring
Assisting with data protection compliance
Track, analyse and implement regulatory change
Monitoring AML checks on investments and conducting fund investor onboarding
Oversee opt-up process for elective professional investors
First point of contact for internal compliance queries
Work with external advisers and consultants where appropriate
Qualifications and experience
At least 7 years' experience in investment management compliance in private equity, venture capital or fund management
Strong working knowledge of FCA regulatory framework (particularly for AIFMs)
Good prior experience with compliance monitoring, regulatory reporting
Strong working knowledge of money laundering regulations, JMLSG and sanctions
Relevant compliance qualification (e.g. ICA, CISI or similar) or legal background desirable
Familiarity with Listing Rules desirable
Familiarity with Companies Act desirable
Knowledge/experience of data protection/GDPR desirable
Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to diversity, equity and inclusion. Suitable candidates with equivalent qualifications and more or less experience can apply. Rates of pay and salary ranges are dependent upon your experience, qualifications and training. If you wish to apply, please read our Privacy Notice describing how we may process, disclose and store your personal data: roberthalf.com/gb/en/privacy-notice.
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