Senior Compliance Associate

THE COMPANY:

Our client is a leading global private equity advisory firm based in the West End.

THE RESPONSIBILITIES:

• Assisting in the development and implementation of the anti-money laundering compliance programme for the investment advisor.  This includes conducting client due diligence/KYC on the relevant parties in the private equity/credit deals undertaken by the Business as well as assessing the AML and reputational risks associated with them;
• Reviewing and updating the annual MLRO report with Head of Compliance;
• Assisting the Manager responsible for the compliance monitoring programme in the development and implementation of tests for compliance with the global policies and carrying out tasks set out in the compliance monitoring programme as required;
• Reviewing marketing materials against global marketing regulations;
• Conducting “red flag” screening of advisors appointed to assist with private equity/credit deals;
• Reviewing investment committee papers for identification of conflicts of interest for record-keeping purposes;
• Assisting with analysis and maintenance of the data protection register of processing activities;
• Providing compliance induction training for all new joiners (except US);
• Assisting with annual compliance training including preparing presentation slides, hand-outs, and knowledge questions;
• Assisting with the implementation of new legislation in the UK and Europe;
• Assisting with the development of compliance procedures and policies in accordance with best practice;
• Working as part of the global Compliance team with colleagues based in London and New York as well as Guernsey and Luxembourg;
• Providing ad hoc advice to the business globally; and
• Other duties and projects as required from time to time

EXPERIENCE REQUIRED:

• Practical experience in Compliance in a financial services environment (ideally private equity)
• Substantial proven experience of the financial services industry
• Educated to degree standard and willing to develop knowledge

For further information please contact Spencer Evans