Compliance Executive – Private Equity (Contract)

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    £500 - £550 per day

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  • Published:

    about 3 years ago

A Private Equity, Government backed organisation are looking to recruit a specialist Compliance Executive to complement their existing team. The organisation is very active in investment opportunities in Africa and South East Asia specifically across emerging and frontier markets.

The Role

Their Compliance team plays an important role in reinforcing the firm’s reputation as a responsible investor and ensuring the they meet its regulatory commitments with respect to the FCA. The Compliance Executive will be focused on the effective management of regulatory compliance risk and the design, implementation and adherence to the compliance arrangements of the firm’s operations. 

This will be a fairly broad role covering some of the following:

  • Handling FCA compliance matters arising from the firm’s operations including compiling any relevant regulatory returns and submitting these via the Gabriel system.
  • Ensuring the effectiveness of current policies, procedures and controls by undertaking monitoring of selected areas in line with a compliance monitoring programme
  • Assisting in the drafting and updating of firm and group wide policies and procedures and deliver compliance training to the business, to include the annual AML, ABC and Compliance training programmes.
  • Keeping abreast of UK compliance requirements relevant to the firm’s operations as well as understanding the compliance obligations in the other countries in which the firm operates
  • Developing the investment teams’ knowledge of compliance requirements by delivering tailored training and updates at team meetings.
  • Assisting in the preparation of MI reports on compliance and regulatory issues for senior management ahead of board and senior management meetings.

Key Requirements:

  • Relevant knowledge of FCA compliance requirements for UK regulated financial institutions, particularly in relation to either private equity, or asset management sector
  • 3-5 years’ experience in managing compliance issues in a UK regulated financial institution, with at least two years in private equity or asset management
  • Financial Crime compliance experience (desirable but not essential)
  • Ability to plan ahead and proactively address issues;
  • Ability to manage and prioritise a busy and diverse workload with a range of deliverables for a variety of stakeholders;
  • Confident and articulate, with excellent written and verbal communication skills;
  • Highly motivated and results driven;
  • University degree and preferably a postgraduate qualification in a relevant discipline.
  • Good organisational skills and attention to detail.