We are looking for either a current SMF16/17 or a Deputy who is looking for a step up.
THE COMPANY:
Our client is an international private equity firm with offices based in the City.
THE RESPONSIBILITIES:
Maintain relationship with the regulator by submitting required periodic and ad-hoc FCA reporting, responding to FCA requests and keeping up with regulatory updates
Have day-to-day ownership of compliance with SMCR, including completing necessary notifications to the FCA
Provide advice and guidance as required with compliance-related issues including monitoring of controls
Managing compliance within the UK and European based Private Equity and Real Estate business units.
Conducting annual review of the compliance program monitoring and assessing its adequacy and effectiveness
Supporting compliance training program, creating awareness of firm policies and procedures as well as the FCA rules.
Managing audits and investigations into regulatory and compliance issues.
Monitoring changes to regulatory and legal requirements, assessing impact and instituting changes to the compliance program as necessary.
Supporting the Private Equity and Real Estate legal and deal teams on transaction due diligence and compliance risk assessments including with respect to Anti-Terrorist Financing and Money Laundering and Anti-Bribery and Corruption.
Providing reports on a regular basis, and as directed or requested, to keep the Vice President, Legal & Compliance, senior management and the Boards of FCA regulated entities informed of the state of compliance operations and progress of compliance efforts.
Coordinating the development, review and administration of policies and procedures specific to the UK based business units including liaising with policy owners in the Finance, Legal, HR and IT groups within the Business.
Participating on behalf of the UK based business units in the development of enterprise-wide policies as the Business expands its global footprint.
EXPERIENCE REQUIRED:
Legal and/or compliance professional with 7 plus years of proven experience in compliance roles ideally in a MIFID investment firm, preferably with transactional and/or regulatory experience.
Experience interacting with regulators (ideally the FCA).
Strong understanding and ability to identify and evaluate risks and controls as well as ability to apply regulatory knowledge and compliance experience to collaborate with teams across the business.
Detailed understanding of FCA principles and experience with SM16 & SM17 controlled function responsibilities is highly desirable.
Familiarity with GDPR and wider UK statutory risk principles is desirable.
Ability to work independently with a consistent “can do” attitude.
For further information please contact Spencer Evans
