Senior Compliance Officer - Private Equity - eFinancialCareers : Job Details

MERJE are delighted to be partnering exclusively with a fast growing Private Equity firm in their search for a Senior Compliance Officer in London.

This critical hire offers an exciting opportunity to oversee compliance in a dynamic and fast paced environment and will play a crucial role in maintaining regulatory standards and fostering a culture of compliance across the business.

Working closely with the General Counsel in London, you will be responsible for:

• Providing timely and practical compliance advice to investment teams, client services, operations, and senior management.
• Monitoring regulatory developments, assess the impact on the firm’s business, and propose updates to policies, procedures, and processes.
• Maintaining and update the firm’s Compliance Monitoring Programme
• Oversee regulatory reporting obligations (including FCA RegData returns, transaction reporting, suspicious transaction reporting, and breach notifications).
• Maintain the firm’s Anti-Money Laundering (AML), Counter-Terrorist Financing (CTF), and sanctions compliance frameworks.
• Support the General Counsel in maintaining regulatory records, compliance registers (breaches, conflicts of interest, gifts & entertainment, personal account dealing, etc.).
• Investigate regulatory breaches and compliance incidents, ensuring appropriate escalation, documentation, and remedial action.

Experience/Skills/Qualifications:

• 5-8 years of broad based Compliance experience ideally gained in a Private Equity / Private Markets environment
• Practical knowledge of the FCA Handbook (particularly COBS, SYSC, MAR, FUND, and SM&CR).
• Strong relationship-building skills with the ability to engage proactively with colleagues at all levels
• Excellent report writing and presentation skills

Looking for someone to be in the office 4 days each week (3 days might be considered).

Excellent package on offer and an opportunity to take on the SM16/17 functions in the near future.