Senior Compliance Associate - Private Equity
Senior Compliance Associate - Private Equity
This range is provided by MERJE. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range
MERJE are delighted to be exclusively partnering with this boutique Private Equity firm in their search for a Senior Compliance Associate in London.
This critical hire offers an exciting opportunity to oversee compliance in a dynamic and fast paced environment and will play a crucial role in maintaining regulatory standards and fostering a culture of compliance across the business.
Working closely with the GC/Head of Compliance, you will be responsible for:
* Maintaining a comprehensive understanding of applicable laws, regulations, and industry guidance
* Providing timely and practical compliance advice to investment teams, client services, operations, and senior management.
* Monitoring regulatory developments, assess the impact on the firm’s business, and propose updates to policies, procedures, and processes.
* Maintaining and update the firm’s Compliance Monitoring Programme
* Oversee regulatory reporting obligations (including FCA RegData returns, transaction reporting, suspicious transaction reporting, and breach notifications).
* Maintain the firm’s Anti-Money Laundering (AML), Counter-Terrorist Financing (CTF), and sanctions compliance frameworks.
* Support the General Counsel in maintaining regulatory records, compliance registers (breaches, conflicts of interest, gifts & entertainment, personal account dealing, etc.).
* Investigate regulatory breaches and compliance incidents, ensuring appropriate escalation, documentation, and remedial action.
Experience/Skills/Qualifications:
* 3-5 years of broad based Compliance experience ideally gained in a Private Equity / Private Markets environment
* Practival knowledge of the FCA Handbook (particularly COBS, SYSC, MAR, FUND, and SM&CR).
* Strong relationship-building skills with the ability to engage proactively with colleagues at all levels
* Excellent report writing and presentation skills
Seniority level
* Seniority level
Mid-Senior level
Employment type
* Employment type
Full-time
Job function
* Job function
Finance
* Industries
Financial Services, Investment Management, and Venture Capital and Private Equity Principals
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