Senior compliance associate

Job Description

Compliance Senior Associate – Private Equity



My client is a London-based investment firm specialising in growth capital and private equity. Due to a highly successful run of years and the present Compliance team switching their focus to more international areas, an opportunity has arisen to look after the firm’s UK Compliance.


This is a fantastic opportunity designed to succeed as you’ll be working alongside the person who previously did this role.



The role




* Regulatory filings and ongoing FCA reporting
* Maintenance of the compliance manual, policies and procedures
* Oversight of investor, borrower and counterparty KYC processes
* Compliance monitoring, testing and remediation across the programme
* Preparation for audits and operational due diligence reviews
* Management of compliance registers (conflicts, breaches, PAD, gifts & entertainment, OBAs, etc.)
* Coordination of compliance training and staff declarations
* Implementation of new and evolving regulatory requirements
* Day-to-day management of compliance activities and key processes
* Line management of the Compliance Analyst



The Candidate