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- Tasks: Own the compliance framework and manage relationships with regulatory bodies.
- Company: Niche Private Investment firm with growth opportunities.
- Benefits: Competitive salary, career progression, and a dynamic work environment.
- Why this job: Be the first Compliance Officer and shape the future of compliance in a growing firm.
- Qualifications: Experience in Private Markets and knowledge of UK & Luxembourg AIFM requirements.
- Other info: Minimum 3 days in the office; strong communication skills essential.
The predicted salary is between 60000 - 80000 £ per year.
We are exclusively recruiting for a niche Private Investment firm looking to hire their first Compliance Officer as the business continues to grow. This is a stand-alone Compliance Officer role, ideal for someone who has long term aspirations to become a Head of Compliance. The role reports into the COO. This would not be holding SMF functions at this stage as they are an AR; however, as the business continues to grow, there are plans to become fully authorised.
Previous experience working with an Appointed Representative framework is required. Candidates should have a strong Private Markets background with a good knowledge of Marketing & Distribution alongside a good understanding of UK & Luxembourg AIFM requirements. Strong communication & training skills are a must as this role will have an important role in the continued education & training of staff across multiple office locations globally. The role requires a minimum of 3 days in the office.
Job Requirements:
- Own the AR compliance framework: policies, controls, monitoring plan, breaches/incident handling, training, MI and recordkeeping.
- Manage the relationship with the Principal (FCA-authorised firm): reporting, oversight reviews, remediation and audit readiness.
- Coordinate UK-side compliance with Luxembourg AIFM compliance teams and service providers (administrator, depositary and counsel as relevant).
- Operate a practical financial promotions / communications sign-off process (decks, teasers, DDQs, factsheets, website copy, investor updates).
- Provide day-to-day advisory support to Partners / IR / Operations.
- Assist with compliance protocols and training regarding all compliance policies and procedures.
- Prepare quarterly compliance updates for AR (breaches, incidents, conflicts register status, regulatory updates).
- Support COO on info requests from Principal/AIFM.
Unless otherwise stated, candidates must have the right to work in the UK.
Compliance Officer – Private Equity employer: CLARC Recruitment
Contact Detail:
CLARC Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer – Private Equity
✨Tip Number 1
Network like a pro! Reach out to your connections in the private equity space and let them know you're on the hunt for a Compliance Officer role. You never know who might have the inside scoop on openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of UK & Luxembourg AIFM requirements. Be ready to discuss how your experience aligns with the compliance framework they'll need as they grow. Show them you’re not just a fit, but the perfect fit!
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, send a quick thank-you email to express your appreciation and reiterate your enthusiasm for the role. It keeps you fresh in their minds and shows your professionalism.
✨Tip Number 4
Check out our website for the latest job openings! We often have exclusive listings that might not be found elsewhere. Plus, applying through us gives you a better chance of standing out in the crowd.
We think you need these skills to ace Compliance Officer – Private Equity
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Officer role. Highlight your experience with Appointed Representative frameworks and your knowledge of UK & Luxembourg AIFM requirements. We want to see how your background fits perfectly with what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance in private equity and how your skills can help us grow. Don’t forget to mention your strong communication and training skills, as they’re key for this role.
Showcase Relevant Experience: When filling out your application, be sure to showcase any relevant experience you have in compliance, especially in private markets. We’re keen to see how you've managed compliance frameworks or worked with financial promotions in the past.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you don’t miss out on any important updates from us. Plus, it’s super easy!
How to prepare for a job interview at CLARC Recruitment
✨Know Your Compliance Framework
Make sure you have a solid understanding of the Appointed Representative framework and how it applies to the role. Brush up on your knowledge of UK and Luxembourg AIFM requirements, as this will show that you're prepared and serious about the position.
✨Showcase Your Communication Skills
Since strong communication and training skills are essential for this role, be ready to demonstrate these during the interview. Think of examples where you've successfully trained others or communicated complex compliance issues clearly.
✨Prepare for Practical Scenarios
Expect to discuss real-life compliance scenarios, such as handling breaches or incidents. Prepare some examples from your past experience where you managed similar situations effectively, highlighting your problem-solving skills.
✨Understand the Business Context
Research the niche Private Investment firm and understand their business model. Knowing how compliance fits into their growth plans will help you articulate how you can contribute to their success as they move towards full authorisation.