Senior Compliance Officer, Private Equity Fund investor, London – 3028 /5D
Recruiter's Reference: 3028 /5D
About our client
Our client is a an internationally recognized and well funded global asset manager that focuses on private equity investments. Its head office is based in Switzerland and it has offices across Europe, Asia and the Americas.
Responsibilities
- Advise the business on all applicable regulatory obligations, regulatory developments and suitable procedures required to ensure compliance with these obligations
- Implement and oversee comprehensive monitoring programme(s) to ensure business is conducted in compliance with all relevant regulatory obligations
- Report to management all exceptions and potential issues and ensure that actual or potential breaches are remedied promptly
- Ensure that the firm/group establishes and maintains at all times effective systems and internal controls in order to manage and minimise the risk of losses to clients or to the business from errors, irregularities or fraud
- Reporting to and maintaining relations with regulatory bodies in the UK and in those countries where the business does not have local compliance representatives and coordinating external audits
- Responsible for anti-money laundering and know your client matters
- Ensure all investor documents including performance reports, advertising and marketing materials are fully compliant
Skills we’re looking for
- Strong academic records and relevant compliance qualifications
- Compliance experience from working within an international financial institution
- Good working knowledge of the UK regulatory and controlling structures and familiarity with other jurisdictions including US and Switzerland
- Commercial awareness and can do attitude
- Excellent communication, problem solving skills and ability to build relationships
- Flexibility to travel – the role will demand regular travel to Switzerland and other locations
- High level of professionalism, discretion and attention to details
- Ability to work within a small, cooperative team and liaise confidently with senior management
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February 11, 2009
• Tags: 3028, 5D, London, Private Equity, Private Equity Fund investor, Senior Compliance Officer, Venture Capital jobs and careers in UK • Posted in: Financial