Compliance manager - private equity & venture capital firm

Job Description

Compliance Manager

Private Equity & Venture Capital firm

£80K-£100K + bonus

London - Hybrid working


The role:


1. Ensure ongoing compliance with FCA regulations including SYSC, FUND, PRIN and COBS
2. Oversee and execute the Compliance Monitoring Programme
3. Draft, review and update compliance policies and manuals
4. Prepare regular compliance reports for Partners and Executive Committee meetings
5. Prepare, review and submit regulatory returns in RegData
6. Edit online compliance training modules and maintain learning portal and conduct face to face compliance induction training
7. Ensure compliance with financial promotions and prospectus advertisement rules and review all retail communications and business announcements
8. Assist with preparation of Consumer duty related materials such as product reviews, value assessments and annual governing body report
9. Oversight of compliance registers and investigation of breaches and complaints
10. Support MLRO with annual MLRO report, financial crime risk assessments and other financial crime matters
11. Ensure compliance with SMCR framework such as fitness and propriety assessments and regulatory references
12. Oversee personal dealings administration and monitoring