Job Description
MERJE are delighted to be exclusively partnering with this boutique Private Equity firm in their search for a Compliance Officer (SM16) 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, 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.
* Act as the primary escalation point for suspicious activity reports (SARs) and, if designated, act as MLRO or Deputy MLRO.
* Support the General Counsel in maintaining regulatory records, compliance registers (breaches, conflicts of interest, gifts & entertainment, personal account dealing, etc.).
* Draft and deliver compliance training, including induction training for new staff and annual regulatory refreshers.
* Oversee the firm’s SM&CR obligations, including maintaining Statements of Responsibilities, the Responsibilities Map, and fitness and propriety assessments.
* Investigate regulatory breaches and compliance incidents, ensuring appropriate escalation, documentation, and remedial action.
Experience/Skills/Qualifications:
* Previously operated as a Compliance Officer SM16 (not essential but preferred) in a private equity, private credit or infrastructure type environment
* Deep, practical knowledge of the FCA Handbook (particularly COBS, SYSC, MAR, FUND, and SM&CR).
* Strong understanding of UK Money Laundering Regulations, financial crime risks, and AML/KYC requirements in a private markets or asset management context.
* Strong relationship-building skills with the ability to engage proactively with colleagues at all levels
* Attention to detail and strong analytical skills, capable of logical thinking, using initiative, and systematically resolving problems
* Proactive, self-supportive, and motivated in fostering a positive compliance culture
* Excellent report writing and presentation skills