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Reporting into the COO with a dotted line into the CEO, this stand-alone role will be both strategic and hands on. The intention will be for the incumbent to take on the responsibilities of SMF 16/17, therefore the official title is "Compliance Officer." This is a director level role though, and titles are not as significant as is sometimes the case.
Of all the PE firms I have come across over the last 19 years, this one is the most caring of its staff and its investors. Many firms pay lip-service to ESG. This fund genuinely believes in it.
The Role
- Review Compliance programme, policies and procedures
- Oversee Compliance Monitoring
- Manage SMCR and other compliance related reporting.
- Evaluate AML policies and procedures
- Monitor AML controls
- Prepare AML reports
- Keep up to date with FCA regulatory changes
- Ensure compliance with FCA, SEC and other relevant regulatory bodies
- Manage regulatory and compliance registers
- Draft quarterly and annual reports to the Partners
- Manage AML/KYC and anti-bribery obligations for portfolio companies.
- Maintain KYC portal
- Own compliance training (including new starter training).
The Candidate
- At least 7, but far more likely 10-12 years plus generalist Compliance experience in a Buy Side environment such as Private Equity, Private Credit, Secondaries or Venture Capital. Experience within an Impact Fund would be even better. Alternatively (and not as ideal) would be candidates from Hedge Funds, Asset Management or Investment Management.
- The candidate must be experienced enough to hold the SMF 16/17 but prepared to do all the Compliance Administration that goes along with a stand alone role.
- Strong working knowledge of the UK, US and European regulatory requirements.
- Must enjoy being a large part of a small (but growing), team orientated and diverse company.
Candidates must have the right to work in the UK and be prepared to come into the office 4 days a week.
