Private Equity HouseJob Description
• Generalist compliance experience, including key Regulations/Directives; notably MiFID, SMCR, Money Laundering Regulation, Market Abuse Regime.
• Strong buy-side MiFID knowledge, with a detailed understanding of related regulatory requirements, for example Best Execution; Research Payment Regime.
• Understanding and experience of AML/KYC requirements and JMLSG related to Asset Management in particular.
- Knowledge of insider dealing related issues and restricted list/wall crossing issues; Advise on MNPI.
• Understanding and experience of UK and relevant international filing obligations for European jurisdictions, including Short Selling Regulation.
• Assist with the implementation/oversight of the Compliance Monitoring Program and Compliance Calendar, including FCA filings, communication monitoring etc.
- Understanding of Code of Ethics Compliance and experience of implementing or oversight in this area.
• Experience in analysis and implementation of regulatory change.The Successful Applicant
• The ideal candidate for this role is an individual with relevant compliance experience in alternative investment management, FCA or consulting.
• Alternatives compliance experience desirable.
. Strong communication skills - ability to communicate clearly and concisely, both orally and in writing, particularly with the Front Office.
• Extremely detail oriented, accurate and thorough.
. Self-motivated and able to apply themselves to a broad range of activities including being able to demonstrate past ability to understand and learn new tasks/areas.
. Collaborative; team player who can work well with Legal and Compliance colleagues and other key departments in the firm.What's on Offer
Excellent Head of Compliance role in Private Equity.
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