Compliance Director, Maternity Cover – 12 Months, FTC

• Operate and continuously strengthen 17Capital's compliance and financial crime framework across regulated entities.
• Manage, review and quality-control the work of two Compliance Associates.
• Lead investor onboarding, investor transfer and transactional AML processes.
• Oversee market abuse and MNPI controls, information barriers, approvals and chaperoning arrangements.
• Own the Compliance Monitoring Programme and heatmap, tracking findings through remediation.
• Design and maintain monitoring programmes across UK, US, Dubai and Japan regulated activities and jurisdictions.
• Maintain the Compliance calendar and Compliance Alpha for regulatory deadlines and tasks.
• Ensure accurate Compliance Committee papers and minutes.
• Maintain compliance policies, procedures and registers; create new policies and processes.
• Lead annual regulatory reports, including the Annual SYSC Report, Financial Crime Risk Assessment and Annual Compliance Officer Report.
• Oversee ICARA, MIFIDPRU 8 disclosures, regulatory risk assessments and remuneration policy compliance.
• Administer Code of Ethics, SMCR, Material Risk Takers, employee attestations, certifications and compliance training.
• Oversee communications surveillance, personal account dealing, broker feeds, conflicts of interest and staff regulatory applications.
• Review and approve financial promotions and client communications under FCA and SEC requirements.
• Coordinate investor compliance due diligence questionnaires and support fundraising AML/KYC activities.
• Oversee FATCA/CRS reporting across Luxembourg, UK and Guernsey.
• Manage SEC filings including Form ADV and Form D, FCA reporting, DFSA/DIFC matters, Luxembourg/CSSF requirements and Canadian provincial filings.
• Monitor and advise on regulatory change, data protection and ICO compliance matters.
• Coordinate quarterly KPI submissions and support compliance-related service provider and outsourcing procurement.
• Encourage AI and technology adoption to improve team efficiency.

Requirements

• Substantial experience in a compliance leadership role within an FCA-regulated asset manager, ideally within private capital/alternatives.
• Demonstrated experience managing, developing and reviewing the work of junior compliance staff.
• Relevant professional qualification (e.g. ICA, CISI) preferred.
• Strong working knowledge of FCA rules, including SYSC, COBS, MIFIDPRU, and Reg Data/FCA Connect reporting requirements.
• Beneficial: knowledge of SEC regulatory requirements applicable to registered investment advisers, including Form ADV and Form D filings.
• Beneficial: working knowledge of FATCA/CRS reporting obligations and administration.
• Sound understanding of UK and international AML/KYC frameworks, including investor onboarding, transactional AML, and ongoing due diligence.
• Familiarity with SMCR and the Material Risk Takers regime.
• Understanding of market abuse regulation and MNPI/information barrier controls.
• Exposure to DFSA/DIFC and Luxembourg/CSSF regulatory regimes is advantageous.
• Awareness of UK data protection law and ICO requirements.
• Experience with private funds/alternative asset manager compliance, ideally within private equity, credit, or NAV/preferred equity structures.
• Excellent written and verbal communication skills.
• Ability to liaise confidently with regulators, auditors, and institutional investors.
• Ability to manage multiple regulatory deadlines across jurisdictions.
• Pragmatic, solutions-oriented approach, comfortable operating in a lean, high-growth team.

Core Competencies

Demonstrates extensive expertise in compliance leadership within FCA-regulated environments, with a strong focus on AML/KYC frameworks, regulatory reporting, and compliance monitoring across multiple jurisdictions. Proven ability to manage and develop compliance teams while ensuring adherence to complex regulatory requirements.

Highest-signal resume keywords

• FCA Regulatory Knowledge
• AML/KYC Frameworks
• Compliance Leadership
• Regulatory Reporting
• Compliance Policy Development

ATS Optimization Keywords

Hard Skills

• Compliance Monitoring
• Regulatory Risk Assessment
• Investor Onboarding
• Market Abuse Regulation
• FATCA Reporting
• SEC Filings
• MIFIDPRU Compliance
• SMCR Knowledge
• Material Risk Takers Regime
• Data Protection Compliance

Soft Skills

• Excellent Communication Skills
• Pragmatic Problem Solving
• Team Management
• Stakeholder Liaison
• Solutions-Oriented Approach

Certifications & Qualifications

• ICA Qualification
• CISI Qualification

Industry Keywords

• FCA
• SEC
• AML
• KYC
• Private Capital
• Alternatives
• DFSA
• DIFC
• Luxembourg CSSF
• UK Data Protection Law

Tools & Technologies

• Compliance Calendar
• Compliance Alpha
• Regulatory Reporting Tools
• KPI Tracking Systems
• Compliance Training Platforms