Senior Compliance Officer

Recruiter
Maldon Partners
Location
London, UK
Salary
Competitive
Posted
28 Jul 2019
Closes
07 Aug 2019
Ref
1200729433
Sector
Legal
Contract Type
Permanent
Hours
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.


Salary:

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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