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Legal Counsel (Compliance & Regulatory)
Private Equity firm
London (Hybrid working)
£100K-£125K base plus bonus
Key responsibilities:
- Advisory - provide regulatory support to business relating to regulated activities in the UK and Europe, including compliance with the UK Financial Conduct Authority's (FCA) Senior Managers and Certification Regime (SMCR).
- Regulatory compliance - monitor legislation and regulatory developments for entities in the region, including identification, impact assessment (e.g. through gap analysis) and overseeing implementation of applicable legal or regulatory changes.
- Risk assessment and mitigation - conduct risk assessments to identify, assess and manage potential compliance risks, including the development and implementation of mitigation strategies.
- Training - prepare and deliver training programs for employees and the portfolio companies on compliance matters.
- Policy development - prepare and update local and global compliance policies and procedures in line with evolving regulatory requirements and best practices
- Reporting - support the preparation of local and global risk and compliance reports for the business and risk committees.
- Assist the global Compliance team with ad hoc initiatives.
- Support compliance-related due diligence for potential investments
- Support oversight and feedback to operating companies and other investments on compliance topics.
Experience:
- UK qualified lawyer
- In-house compliance experience in a financial services firm helpful, but not essential
- Candidate should be familiar with UK and EU anti-financial crime laws as applied to financial services and investments, including anti-bribery and corruption (ABC), anti-money laundering (AML), anti-fraud and sanctions.
- Candidate should have knowledge of the FCA regulatory regime (e.g., SYSC, SMCR, IFPR, UK MAR).
- Experience in supporting compliance due diligence on potential investments from an ABC, AML and sanctions perspective, is desirable.
Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to diversity, equity and inclusion. Suitable candidates with equivalent qualifications and more or less experience can apply. Rates of pay and salary ranges are dependent upon your experience, qualifications and training. If you wish to apply, please read our Privacy Notice describing how we may process, disclose and store your personal data: gb/en/privacy-notice.
