Assistant Compliance Manager

Policies and Monitoring

Assist in the management of day to day compliance activities, meeting all compliace deadlines and work alongside all business divisions to further the business objectives
Assist in maintenance of policies and procedures
Assist the Compliance Manager in oversight of US Compliance activities and reporting requirements
Assist in the annual preparation of Compliance reports and risk assessments i.e. Annual SYSC report, Annual Remuneration report, Annual Financial Crime risk assessments etc

Reporting

Prepare UK FCA submissions, notifications and non financial reporting on a quarterly, six-monthly and annual basis including Annex IV
Prepare and assist in other regulatory reporting worldwide (Canada, Luxembourg, US (Delaware and Form ADV)), where required
Review FCA Directory on an ongoing basis to ensure leavers, new joiners and changes to individuals circumstances are reflected on the Directory
Assist in obtaining GIINs and LEIs for 17Capital SPVs and fund entities as required
Assist in the upkeep and annual confirmation submission of Companies House confirmation statements as well as PSC register reviews
Assist in the annual review of Compliance related website disclosures

Service Provider Oversight

Assist with the oversight of specialist compliance activities undertaken by 3rd parties

Governance

Investors:

Work alongside Investor Relations and the Compliance Manager during investor onboarding procedures
Work closely with the Luxembourg Fund administrators before, during and after fund closes to ensure all investors are AML compliant
Escalate any AML issues to the MLRO, as appropriate
Undertake investor AML refreshes, where required by the Fund administrators
Assist in the responses to Investor Due Diligence questionnaires in a timely manner
Assist with KYC on limited partner transfers

Investments

Perform thorough Due Diligence and AML checks on investment counterparties under supervision of the Compliance Manager
Assist the Compliance Manager with the maintenance of the restricted list

Carry out Compliance induction and onboarding training and set up (discosures, user set up on ComplySci)

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