Senior Compliance Officer

Maldon Partners
London, UK
28 Jul 2019
07 Aug 2019
Contract Type
Full Time
Maldon Partners are recruiting a Senior Compliance Officer on a permanent basis for a Global Private Equity firm based in the West End. The role has been created due to expansion and will report directly to the Chief Compliance Officer forming part of a 2 person compliance team.

The firm has c40 employees with offices in London and NYC and focuses on investment opportunities in Europe and North America.

The Role:

The purpose of the Senior Compliance Officer is be responsible for all day to day compliance activities of the firm. Previous experience of working in a PE Firm is desirable but not mandatory.

Responsibilities will include but not be limited to:
  • Implement and update the annual compliance monitoring plan (CMP)
  • Prepare FCA Submissions and reporting
  • Undertake worldwide regulatory reporting (Canada, US and Luxembourg)
  • Meet all compliance deadlines
  • Conduct regular compliance monitoring such as MAR, Best Execution
  • Ensure compliance with the latest rules, guidelines, regulations and policies.
  • Liaise with external compliance advisors
  • Assist with MIS Production where needed

Experience Required:

In order to apply for the Senior Compliance Officer role, you MUST have:
  • A minimum of 3years generalist compliance experience gained within a buy-side financial services firm (Asset/Investment manager, Private Equity or Hedge Fund)
  • A strong understanding of the FCA's rules and regulations
  • A degree from a top tier University
  • UK Compliance qualification is desired but not essential
  • Excellent knowledge of MS Office skills in Word, Excel and PowerPoint
  • A self-starter who can work in a small team within a faced paced environment.


The Senior Compliance Officer role has a base salary of c£50,000 - £70,000 depending on experience and is based in the West End of London.

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