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Job Location | London |
Education | Not Mentioned |
Salary | Competitive salary |
Industry | Not Mentioned |
Functional Area | Not Mentioned |
Job Type | Permanent , full-time |
The role reports to the COO Private Equity and will work closely with Head of Legal, Private Equity, as part of a small multi-disciplinary team of legal, tax and compliance professionals. The role retains a dotted line reporting relationship to the ChiefRisk Officer, UK & EMEA. The role will work in partnership with the Private Equity leadership and peers to develop a Private Equity business that delivers: a cohesive, global, one-team approach a performance driven culture that is client focused and risk managedan effective and efficient operating platform that is relevant for client outcomes and mitigates risk for the private equity business a profitable return Key responsibilities: Deliver an effective and efficient risk & compliance framework that identifies,prevents, detects and corrects noncompliance with applicable laws, regulations and policies across the European Private Equity business Coordinate and support wider risk management and control framework activity to ensure appropriate and proportionate adherenceto the Enterprise Risk Management Framework Understand the regulatory landscape; advise and escalate where change is required Work across teams and functions to promote a culture of compliance & effective risk management Manage regulatory reporting, inquiriesand filings Develop and maintain an appropriate assurance framework in conjunction with wider 2nd and 3rd line activity Maintain an operational risk framework including RCSA process, MI & reporting Review marketing materials and pitchbooks for adherence torelevant standards and support cross border distribution of products with respect to AIFM registrations and compliance with national private placement rules Assist with client due diligence requests and meetings Hold SMF 16 responsibilities for UK PE entitiesand maintain the relevant data in relation to the PE ManCo and mandates Develop the AML/KYC and sanctions framework in conjunction with plc teams Operate across teams and within a developing operating model Manage the provision of agreed services and responsibilitiesprovided by plc teams across the Private Equity perimeter The role requires: A demonstrable background in Private Equity compliance Deep understanding of UK & European regulatory and relevant legal framework Prior SMF16 approval and experience (would be requiredto hold or gain FCA SMF 16 (and possibly 17). Demonstrate personal profile and credibility with key stakeholders Ability to self-motivate, handle multiple tasks effectively and work independently Proactive approach in identifying and correcting existing orpotential problem areas The ability to think and act strategically as well having an eye for detail High level of integrity, confidentiality and judgement Prior experience of the US compliance environment would be beneficial