Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Oversee compliance and maintain regulatory standards in a fast-paced private equity environment.
- Company: Join a boutique Private Equity firm known for its dynamic culture and commitment to compliance.
- Benefits: Enjoy a collaborative work environment with opportunities for professional growth and development.
- Why this job: Make a real impact by fostering a culture of compliance and ensuring regulatory adherence.
- Qualifications: Experience as a Compliance Officer preferred; strong knowledge of FCA regulations and AML/KYC requirements essential.
- Other info: Ideal for proactive individuals who thrive in a challenging and rewarding role.
The predicted salary is between 43200 - 72000 £ per year.
MERJE are delighted to be exclusively partnering with this boutique Private Equity firm in their search for a Compliance Officer (SM16) 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 GC, you will be responsible for:
- Maintaining a comprehensive understanding of applicable laws, regulations, and industry guidance.
- Providing timely and practical compliance advice to investment teams, client services, operations, and senior management.
- Monitoring regulatory developments, assessing the impact on the firm’s business, and proposing updates to policies, procedures, and processes.
- Maintaining and updating the firm’s Compliance Monitoring Programme.
- Overseeing regulatory reporting obligations (including FCA RegData returns, transaction reporting, suspicious transaction reporting, and breach notifications).
- Maintaining the firm’s Anti-Money Laundering (AML), Counter-Terrorist Financing (CTF), and sanctions compliance frameworks.
- Acting as the primary escalation point for suspicious activity reports (SARs) and, if designated, acting as MLRO or Deputy MLRO.
- Supporting the General Counsel in maintaining regulatory records, compliance registers (breaches, conflicts of interest, gifts & entertainment, personal account dealing, etc.).
- Drafting and delivering compliance training, including induction training for new staff and annual regulatory refreshers.
- Overseeing the firm’s SM&CR obligations, including maintaining Statements of Responsibilities, the Responsibilities Map, and fitness and propriety assessments.
- Investigating regulatory breaches and compliance incidents, ensuring appropriate escalation, documentation, and remedial action.
Experience/Skills/Qualifications:
- Previously operated as a Compliance Officer SM16 (not essential but preferred) in a private equity, private credit or infrastructure type environment.
- Deep, practical knowledge of the FCA Handbook (particularly COBS, SYSC, MAR, FUND, and SM&CR).
- Strong understanding of UK Money Laundering Regulations, financial crime risks, and AML/KYC requirements in a private markets or asset management context.
- Strong relationship-building skills with the ability to engage proactively with colleagues at all levels.
- Attention to detail and strong analytical skills, capable of logical thinking, using initiative, and systematically resolving problems.
- Proactive, self-supportive, and motivated in fostering a positive compliance culture.
- Excellent report writing and presentation skills.
Contact Detail:
MERJE Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer (SM16) - Private Equity
✨Tip Number 1
Familiarise yourself with the FCA Handbook, especially the sections relevant to private equity. Understanding the nuances of COBS, SYSC, and SM&CR will give you a solid foundation to discuss compliance matters confidently during interviews.
✨Tip Number 2
Network with professionals in the private equity sector. Attend industry events or webinars where you can meet compliance officers and learn about their experiences. This can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Stay updated on recent regulatory changes and compliance trends in the financial services industry. Being able to discuss current events and their implications for the firm will demonstrate your proactive approach and commitment to compliance.
✨Tip Number 4
Prepare to showcase your relationship-building skills. Think of examples where you've successfully engaged with colleagues at various levels to foster a compliance culture. This will highlight your ability to work collaboratively within the firm.
We think you need these skills to ace Compliance Officer (SM16) - Private Equity
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience and skills that align with the Compliance Officer role. Emphasise your knowledge of the FCA Handbook and any previous compliance roles, especially in private equity or similar environments.
Craft a Compelling Cover Letter: Write a cover letter that showcases your understanding of compliance within the private equity sector. Mention specific experiences where you provided compliance advice or managed regulatory obligations, demonstrating your proactive approach.
Highlight Relevant Skills: In your application, focus on key skills such as attention to detail, analytical thinking, and relationship-building. Provide examples of how you've successfully navigated compliance challenges or improved compliance processes in past roles.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors or inconsistencies. A polished application reflects your attention to detail, which is crucial for a Compliance Officer.
How to prepare for a job interview at MERJE
✨Know Your Regulations
Make sure you have a solid understanding of the FCA Handbook and UK Money Laundering Regulations. Be prepared to discuss how these regulations impact the firm and provide examples of how you've applied this knowledge in previous roles.
✨Demonstrate Relationship-Building Skills
Since the role requires engaging with colleagues at all levels, think of examples where you've successfully built relationships in a professional setting. Highlight your proactive approach to fostering a positive compliance culture.
✨Showcase Your Analytical Skills
Prepare to discuss situations where your attention to detail and analytical skills helped resolve compliance issues. Use specific examples that demonstrate your logical thinking and initiative.
✨Be Ready for Scenario Questions
Expect scenario-based questions related to compliance incidents or regulatory breaches. Practice articulating your thought process on how you would handle such situations, including escalation and documentation.