Compliance Manager
Private Equity & Venture Capital firm
£80K-£100K + bonus
London - Hybrid working
The role:
* Ensure ongoing compliance with FCA regulations including SYSC, FUND, PRIN and COBS
* Oversee and execute the Compliance Monitoring Programme
* Draft, review and update compliance policies and manuals
* Prepare regular compliance reports for Partners and Executive Committee meetings
* Prepare, review and submit regulatory returns in RegData
* Edit online compliance training modules and maintain learning portal and conduct face to face compliance induction training
* Ensure compliance with financial promotions and prospectus advertisement rules and review all retail communications and business announcements
* Assist with preparation of Consumer duty related materials such as product reviews, value assessments and annual governing body report
* Oversight of compliance registers and investigation of breaches and complaints
* Support MLRO with annual MLRO report, financial crime risk assessments and other financial crime matters
* Ensure compliance with SMCR framework such as fitness and propriety assessments and regulatory references
* Oversee personal dealings administration and monitoring
* Assisting with data protection compliance
* Track, analyse and implement regulatory change
* Monitoring AML checks on investments and conducting fund investor onboarding
* Oversee opt-up process for elective professional investors
* First point of contact for internal compliance queries
* Work with external advisers and consultants where appropriate
Qualifications and experience
* At least 7 years’ experience in investment management compliance in private equity, venture capital or fund management
* Strong working knowledge of FCA regulatory framework (particularly for AIFMs)
* Good prior experience with compliance monitoring, regulatory reporting
* Strong working knowledge of money laundering regulations, JMLSG and sanctions
* Relevant compliance qualification (e.g. ICA, CISI or similar) or legal background desirable
* Familiarity with Listing Rules desirable
* Familiarity with Companies Act desirable
* Knowledge/experience of data protection/GDPR desirable