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Manager – Compliance, Private Equity & Venture Capital

London, UK

Job Summary

Ensure ongoing compliance with FCA regulations including SYSC, FUND, PRIN and COBS. 7+ years experience in investment management compliance in private equity, venture capital or fund management.

Details

* Compliance Manager
* Venture Capital and Private Equity firm
* £80K-£100K + bonus
* London – Hybrid working

Responsibilities:

* 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
* Monitor AML checks on investments and conducting fund investor onboarding
* Oversee opt-up process for elective professional investors
* Be the first point of contact for internal compliance queries
* Work with external advisers and consultants where appropriate

Qualifications and Experience:

* Relevant compliance qualification (e.g. ICA, CISI or similar) or legal background desirable
* 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
* Familiarity with Listing Rules desirable
* Familiarity with Companies Act desirable
* Knowledge/experience of data protection/GDPR desirable

Click here for details on this job

  • Job Reference #: 06030-0013329604-uken
  • Compensation: £ 100,000
  • Min Experience: 7 years

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