Compliance Manager – Private Equity recruitment
Reporting into the General Counsel, the successful candidate will be responsible for dealing with a broad range of compliance issues in a regulated environment. As you‘d expect from a private equity / deal-driven environment, this will include supporting the investment professionals from the initial investment stage all the way through to providing compliance advice regarding on-going operational issues.
Whilst other members of staff are on hand to provide additional support to the Compliance Manager, is it expected that the successful candidate will be comfortable operating in what is essentially a standalone compliance role.
Core responsibilities include (but are not limited to):
• Monitoring and highlighting compliance issues for both the Private Equity and Credit teams, providing solutions–based and business focused advice
• Act as main point of contact for colleagues in regard to compliance
• Assessing future changes in the regulatory landscape and their application to / impact on the business (AIFMD, Dodd Frank, FATCA, FICOD, CRD IV, FCPA, Bribery Act, etc)
• Conduct regular compliance reviews of in respect of both investments and potential investments, including Take Over Code, Listing Rules, Conflicts of Interest
• Responsible for compliance reporting to relevant authorities:
• Quarterly and annual FSA returns and SEC filings, as well as Capital Adequacy calculations (in conjunction with Finance)
• Responsible for the maintenance and updating of compliance databases and records, ensuring that all relevant policies and procedures are up to date and fit for purpose
• Responsible for preparation of management information and compliance reporting to the board (risk map, responsibilities, new legislation, annual reporting, etc)
• Responsible for oversight of PA Dealing and stop list supervision
• Responsible for ensuring compliance with financial promotions regulations and, more generally, having oversight of marketing compliance (website and investor portal)
• Managing complaints and breaches to satisfactory conclusion
• Liaison with offshore administrators in regard to compliance matters and quarterly review of offshore compliance reporting
• Provide assistance to the IR team during fund raising to ensure smooth KYC / on-boarding processes
Key Skills and Experience:
• Proven track record in compliance, ideally gained in private equity or within the alternatives sector
• Will consider either current / recent holders of CF10 11, or candidates who are looking to step into a more autonomous role and develop into the 10 11 functions
• Experience of corporate finance and/ or MA activity (preferred)
• Some legal qualification, nor necessarily fully qualified, would be advantageous
• Effective communication skills with the proven ability to deal with staff at all levels of seniority
• Proven relationship builder – able to gain the trust of staff, especially when providing advice
• Strong, clear and precise verbal and written skills
• Self-motivated with a results-oriented focus
• Resilient with the ability to work well and deliver under pressure
• Ability to work effectively in a standalone role, but also work as part of a broader team
This is an exceptional opportunity to secure a challenging and rewarding role within a successful and growing firm
Please contact me on 0203 141 9635 or giles.remmington@theimsgroup.co.uk