About 17Capital
17Capital is a private credit manager, specializing in NAV finance for the private equity industry. It provides non-dilutive capital to high-quality private equity management companies, funds, and institutional investors as part of their toolkit for value creation and portfolio management.
Founded in 2008, 17Capital has completed over 130 investments, deploying more than $20 billion alongside leading private equity franchises globally.
For more information, please go to www.17capital.com
17Capital’s Values
Our values are the basis on which we build strong relationships with our clients, our investors and each other. They are the foundation of our business and integral to our continued ability to pioneer success.
Build trust– We behave and act in ways that earn trust
Embrace "different"– We embrace new ideas and constantly strive to discover new ways of doing things
Make things happen– We are agile and responsive in a way that delivers success for all our stakeholders
Strive for excellence– We act with professionalism and adhere to our high standard
Overview
The Compliance Director is responsible for the day-to-day operation and continuous strengthening of 17Capital's compliance and financial crime framework across its regulated entities. The role holds primary responsibility for AML/KYC subject to MLRO oversight and sign-off, regulatory reporting, governance, and compliance monitoring, acting as a key point of contact for regulators, auditors and investors on compliance matters, alongside the CCO/MLRO. The role manages and reviews the work of two Compliance Associates and works closely with the Chief Compliance Officer and wider Legal & Compliance team
Roles & Responsibilities
Team Leadership and Oversight:
- Manage, review and quality-control the work of direct reports across all workstreams below.
- Allocate tasks and set priorities across the team, ensuring adequate coverage of monitoring, AML/KYC, and regulatory reporting deadlines.
- Act as escalation point for issues identified by the direct reports, determining when matters require referral to the CCO/ MLRO.
- Lead efficiency and team process improvement projects.
- Ensure Compliance recordkeeping requirements are met i.e. oversee and enforce register updates from the team, as well as recording of important meetings (memos/notes), Compliance team training/webinar/conferences, legal/professional advice on Compliance matters and updated KYC information on investors/transactions.
Financial Crime - AML / KYC:
- Lead investor onboarding, investor transfer, and transactional AML processes.
- Manage ad hoc AML requests from banks and counterparties.
- Produce financial crime risk assessments and reports for the review and sign off from the MLRO.
- Oversee and review as applicable ongoing client due diligence and transactional KYC.
Financial Crime – Market Abuse:
- Oversee market abuse and MNPI controls, including information barrier protocols, approvals and chaperoning arrangements with the wider Oaktree/Brookfield group.
Compliance Monitoring:
- Own the Compliance Monitoring Programme (CMP) and associated heatmap, tracking findings through to remediation.
- Coordinate ACA-supported quarterly monitoring requests and reviews. Ensure recommendations are actioned and closed off in a timely manner.
- Design and maintain the internal monitoring programme across regulated activities and jurisdictions including UK (FCA), US (SEC), Dubai (DFSA) and Japan (FSA).
- Lead on the update and maintenance of the Compliance calendar to ensure all regulatory deadlines and monitoring tasks across jurisdictions are captured.
- Lead on the update and maintenance of Compliance Alpha for any CMP and new Compliance
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