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- Tasks: Own compliance frameworks and manage relationships with regulatory bodies.
- Company: Niche Private Investment firm with growth opportunities.
- Benefits: Competitive salary, training, and potential for career advancement.
- Why this job: Be the first Compliance Officer and shape the future of compliance in a growing firm.
- Qualifications: Strong background in Private Markets and excellent communication skills.
- Other info: Minimum 3 days in the office; dynamic global environment.
The predicted salary is between 36000 - 60000 £ 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.
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 Markets employer: CLARC Recruitment
Contact Detail:
CLARC Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer – Private Markets
✨Tip Number 1
Network like a pro! Reach out to your connections in the Private Markets sector and let them know you're on the hunt for a Compliance Officer role. You never know who might have the inside scoop on job 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 need. 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, drop 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
Apply through our website! We’ve got your back and want to help you land that Compliance Officer gig. Plus, applying directly gives you a better chance of being noticed by the hiring team. Let’s get you that dream job!
We think you need these skills to ace Compliance Officer – Private Markets
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Officer role. Highlight your experience in Private Markets and any relevant knowledge of UK & Luxembourg AIFM requirements. We want to see how your background aligns 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 and how your skills can contribute to our team. Keep it concise but impactful – we love a good story!
Show Off Your Communication Skills: Since strong communication skills are a must for this role, make sure to demonstrate them in your application. Whether it's through clear language in your CV or a well-structured cover letter, let us see your ability to convey complex information simply.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures that it gets into the right hands. Plus, it shows us you're keen on joining our team!
How to prepare for a job interview at CLARC Recruitment
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of UK and Luxembourg AIFM requirements. Being able to discuss these regulations confidently will show that you're serious about the role and understand the compliance landscape in private markets.
✨Show Off Your Communication Skills
Since this role involves training staff across multiple locations, it's crucial to demonstrate your strong communication skills. Prepare examples of how you've effectively communicated complex compliance issues in the past, and be ready to discuss your approach to training others.
✨Understand the Business
Research the niche private investment firm thoroughly. Understand their business model, key players, and any recent news. This will help you tailor your answers and show that you're genuinely interested in contributing to their growth as a Compliance Officer.
✨Prepare for Scenario Questions
Expect to face scenario-based questions during the interview. Think about potential compliance breaches or incidents you might encounter and how you would handle them. This will demonstrate your practical understanding of compliance frameworks and your problem-solving abilities.