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Compliance Officer

Tikehau Capital | London, UK

Job Summary

Support and execute the compliance programme across the UK and Middle East regions. Bachelor’s degree or higher in Finance, Economics, Business, Law or relevant courses of study. 3+ years of regulatory compliance experience within the financial services industry.

Details

Tikehau Capital is seeking a Compliance Officer to support and execute the compliance programme across the UK and Middle East regions.

This position, based in the UK, reports directly to the Head of UK and Middle East Compliance.

Key Responsibilities:

* Proactively conduct conflict of interest checks for investment opportunities, identify, assess and advise on appropriate mitigation strategies
* Ensure continual employee adherence with policies and procedures
* Maintain thorough, up-to-date and organised records of all compliance-related documentation, communications and employee training activities, ensuring timely follow-up and comprehensive audit trails
* Develop and update compliance training materials, and deliver training to local and international offices
* Review and approve marketing materials
* Support adherence to anti-money laundering (AML) regulations by conducting know-your-customer (KYC) and know-your-investment (KYI) due diligence
* Execute periodic compliance monitoring across business activities, identify issues, provide recommendations, and support remediation
* Review and update compliance policies, procedures and risk assessments to reflect regulatory and product developments, and best practices
* Actively contribute to global compliance projects and initiatives
* Collaborate closely with global compliance teams on a range of tasks and responsibilities

Profile:

* Bachelor’s degree or higher in Finance, Economics, Business, Law or relevant courses of study
* 3+ years of regulatory compliance experience within the financial services industry
* In-depth understanding and practical application of FCA rules, guidance and regulatory expectations
* Ability to exercise discretion and make independent judgments on matters of significance
* Proficient in preparing compliance reports, risk assessments and oversight documentation
* Demonstrated professional integrity
* Ability to work independently, multi-task and prioritise effectively in a fast-paced, small-team environment
* Establish and maintain effective working relationships with colleagues
* Excellent verbal and written communication skills in English

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  • Min Education: BA/BS
  • Min Experience: 3 years

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