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Compliance Consultant

Employer
Halliford Partners
Location
UK
Salary
Competitive
Closing date
25 Jun 2021

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Sector
Legal
Contract Type
Permanent
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Job Details

Background
  • Founded in 2004, our client is a leading private investment firm in the growth markets of Africa, Asia and Latin America. It has over $14bn assets under management in hard assets including infrastructure, power and energy, real-estate and private equity. 17 offices worldwide and over 300 employees
  • Our client invests clients' capital via a series of funds which are managed via structure of approximately 120 entities (limited companies and limited partnerships) registered in multiple jurisdictions
  • The Legal and Compliance function is a small, dynamic team of 7 individuals who play a pivotal role in the operation and development of the firm.
  • Our client is a highly dynamic firm with ambitious growth targets. It regularly undertakes fundraising activities to attract new investors into its funds as well as arranging exits of its existing funds.


Key Responsibilities (this list is not exhaustive)
  • Provide support as needed of several day-to-day compliance activities across Actis' offices including:
  • Responding to queries received in the Compliance mailbox
  • Personal Account Dealing Policy
  • External Service Provider Policy
  • Gifts Policy
  • Flows of Confidential Information
  • Management of compliance related logs and registers (such as gifts register, political contributions etc)
  • Ensuring global regulatory reporting requirements are met and mitigate any risk in this arena.
  • Working closely with the Nigerian Compliance Officer and local partners to discharge local regulatory requirements.
  • Identify regulatory changes in our jurisdictions and implement changes as required
  • Liaising with relevant internal and external teams to reflect regulatory requirements including when setting up in new jurisdictions
  • Provide support as needed in responding to inbound CDD queries from multiple jurisdictions and work closely with CC's service centre in Delhi


Compliance Monitoring programme
  • Taking a lead on the relationship with UK based compliance consultants
  • Coordinating the annual review of the compliance monitoring programme and taking a lead on implementing the programme together with the external compliance consultants including overseeing input required from other teams such as legal, funds admin (in Delhi) and IDG
  • Take a lead in ensuring regular compliance tasks are carried out as per the annual calendar including sending out of briefing notes, risk management cycle, reviews of policies and procedures, production of reports such as the Compliance reports, CASS and MLRO reports
  • Compliance training and declarations
  • Client Assets
  • Liaise with the Funds Admin team in Delhi to ensure the CASS RP is up to date and available as required on a regular basis


UK Regulatory Filings
  • Maintaining internal approved persons register and sharing it with IT and HR as appropriate
  • Preparing FCA Forms for joiners/leavers or changes in roles
  • Preparing the Close Links and Controllers reports with the compliance consultants
  • Preparing the Rep-Crim report
  • Submitting Annex IV reports
  • Prepare SARs


Providing group secretarial support, including:
  • Maintaining the authorised signatory lists for each of the client group entities
  • Overseeing of the relationship with UK and global group company service providers
  • Assisting with the establishment or closure of the client group companies/offices
  • Preparing ad hoc corporate approvals for the client group UK companies
  • Assisting with the annual process of approving the client group company financial statements and their submission
  • Oversee the preparation of board meeting materials for regulated firms


Liaising with third party providers:
  • Be the primary point of contact for Thomson Reuters
  • Be the primary point of contact for Compliance Consultants
  • Be the primary point of contact for the client group company administrators
  • Be the primary point of contact for Navex
  • Be the primary point of contact for BluePrint
  • Participate in Audit and Depositary meetings for the UK and fulfil relevant document requests
  • Provide training on the Modern Slavery Act Policy
  • Assisting with other ad hoc compliance tasks as required.
  • Oversee the implementation of SMCR regulatory requirements
  • Prepare Compliance materials and minutes for Risk Committee
  • Oversee the annual and ad hoc review of the Compliance Manual


Skills/Competencies
  • Legal background/Qualification (preferred)
  • Practical experience in applying policies and procedures
  • An understanding of UK regulatory requirements
  • Excellent communication and interpersonal skills
  • Detail oriented and accurate
  • Strong written and language skills
  • Teamwork ethic
  • Organised, self-motivated and has initiative
  • A desire to understand all aspects of the our client's business
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