Compliance Manager
Venture Capital & Private Equity 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
13. Assisting with data protection compliance
14. Track, analyse and implement regulatory change
15. Monitoring AML checks on investments and conducting fund investor onboarding
16. Oversee opt-up process for elective professional investors
17. First point of contact for internal compliance queries
18. Work with external advisers and consultants where appropriate
Qualifications and experience
19. At least 7 years' experience in investment management compliance in private equity, venture capital or fund management
20. Strong working knowledge of FCA regulatory framework (particularly for AIFMs)
21. Good prior experience with compliance monitoring, regulatory reporting
22. Strong working knowledge of money laundering regulations, JMLSG and sanctions
23. Relevant compliance qualification (e.g. ICA, CISI or similar) or legal background desirable
24. Familiarity with Listing Rules desirable
25. Familiarity with Companies Act desirable
26. 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.