We are seeking a proactive and detail-oriented Compliance Associate to join a growing private equity platform. The successful candidate will play a key role in supporting the firm’s compliance program, ensuring adherence to regulatory requirements and best practices across fund and investment activities. This is an excellent opportunity for someone looking to build on their early career experience within an institutional private equity environment.
Key Responsibilities
* Regulatory Compliance:
* Support the implementation and monitoring of the firm’s compliance framework in line with relevant regulations (e.g. Financial Conduct Authority rules or applicable jurisdiction).
* Assist in preparing and submitting regulatory filings, reports, and notifications.
* Maintain compliance registers, including conflicts of interest, gifts and hospitality, personal account dealing, and outside business interests.
* Policies & Procedures:
* Contribute to the drafting, review, and updating of compliance policies and procedures.
* Support compliance training and awareness initiatives across the business.
* Monitor adherence to internal policies and escalate breaches as appropriate.
* Monitoring & Surveillance:
* Conduct regular compliance monitoring reviews in accordance with the compliance monitoring plan.
* Assist with AML/KYC onboarding of investors, counterparties, and portfolio companies.
* Support ongoing due diligence and sanctions screening.
* Fund & Investment Activities:
* Liaise with investment, finance, and operations teams to ensure transactions comply with regulatory obligations.
* Provide compliance support on fund marketing, fundraising activities, and investor communications.
* Regulatory Developments & Projects:
* Track regulatory developments relevant to private equity and support the implementation of new requirements.
* Assist with compliance-related projects, audits, and regulatory inspections.
Requirements
* Education & Experience:
* Bachelor’s degree or equivalent qualification.
* 2–4 years’ compliance experience, ideally within a private equity, asset management, or financial services firm.
* Exposure to fund regulatory frameworks and investor onboarding processes.
* Skills & Competencies:
* Strong understanding of regulatory environments such as FCA, AIFMD, AML/KYC, or equivalent.
* Excellent organizational skills and attention to detail.
* Strong written and verbal communication abilities.
* Ability to work collaboratively in a fast-paced, entrepreneurial environment.
* Proficiency with Microsoft Office; experience with compliance systems (e.g. monitoring tools, reporting platforms) is a plus.