At a Glance
- Tasks: Ensure compliance with FCA regulations and oversee compliance monitoring programmes.
- Company: Dynamic private equity and venture capital firm in London.
- Benefits: Competitive salary, bonus, and hybrid working model.
- Other info: Opportunity for career growth in a fast-paced environment.
- Why this job: Join a leading firm and make a significant impact on compliance strategies.
- Qualifications: 7+ years in investment management compliance and strong FCA knowledge required.
The predicted salary is between 80000 - 100000 € per year.
Compliance Manager
Private Equity & Venture Capital firm
£80K-£100K + bonus
London - Hybrid working
The role:
- Ensure ongoing compliance with FCA regulations including SYSC, FUND, PRIN and COBS
- Oversee and execute the Compliance Monitoring Programme
- Draft, review and update compliance policies and manuals
- Prepare regular compliance reports for Partners and Executive Committee meetings
- Prepare, review and submit regulatory returns in RegData
- Edit online compliance training modules and maintain learning portal and conduct face to face compliance induction training
- Ensure compliance with financial promotions and prospectus advertisement rules and review all retail communications and business announcements
- Assist with preparation of Consumer duty related materials such as product reviews, value assessments and annual governing body report
- Oversight of compliance registers and investigation of breaches and complaints
- Support MLRO with annual MLRO report, financial crime risk assessments and other financial crime matters
- Ensure compliance with SMCR framework such as fitness and propriety assessments and regulatory references
- Oversee personal dealings administration and monitoring
- Assisting with data protection compliance
- Track, analyse and implement regulatory change
- Monitoring AML checks on investments and conducting fund investor onboarding
- Oversee opt-up process for elective professional investors
- First point of contact for internal compliance queries
- Work with external advisers and consultants where appropriate
Qualifications and experience
- At least 7 years’ experience in investment management compliance in private equity, venture capital or fund management
- Strong working knowledge of FCA regulatory framework (particularly for AIFMs)
- Good prior experience with compliance monitoring, regulatory reporting
- Strong working knowledge of money laundering regulations, JMLSG and sanctions
- Relevant compliance qualification (e.g. ICA, CISI or similar) or legal background desirable
- Familiarity with Listing Rules desirable
- Familiarity with Companies Act desirable
- Knowledge/experience of data protection/GDPR desirable
Compliance Manager - Private Equity & Venture Capital firm in Sheffield employer: Robert Half
As a Compliance Manager at our Private Equity & Venture Capital firm in London, you will thrive in a dynamic and supportive work environment that prioritises employee growth and development. We offer competitive salaries, hybrid working options, and a culture that encourages collaboration and innovation, ensuring you have the resources and opportunities to excel in your career while making a meaningful impact in the compliance landscape.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager - Private Equity & Venture Capital firm in Sheffield
✨Network Like a Pro
Get out there and connect with people in the industry! Attend events, join online forums, and don’t be shy about reaching out on LinkedIn. We all know that sometimes it’s not just what you know, but who you know that can land you that Compliance Manager role.
✨Show Off Your Skills
When you get the chance to chat with potential employers, make sure to highlight your experience with FCA regulations and compliance monitoring. We want to see you confidently discussing how you've tackled challenges in the past and how you can bring that expertise to their firm.
✨Prepare for Interviews
Do your homework before interviews! Familiarise yourself with the company’s compliance policies and recent regulatory changes. We suggest preparing some questions to ask them too – it shows you’re genuinely interested and engaged in the role.
✨Apply Through Our Website
Don’t forget to check out our website for the latest job openings! Applying directly through us can give you an edge, as we often prioritise candidates who show initiative and interest in our firm. Let’s get you that Compliance Manager position!
We think you need these skills to ace Compliance Manager - Private Equity & Venture Capital firm in Sheffield
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Manager role. Highlight your experience in investment management compliance and any relevant qualifications. We want to see how your background aligns with our needs!
Showcase Your Skills:In your cover letter, don’t just list your skills—show us how you’ve used them in real situations. Whether it’s drafting compliance policies or overseeing monitoring programmes, give us examples that demonstrate your expertise.
Be Clear and Concise:When writing your application, keep it clear and to the point. Use straightforward language and avoid jargon unless it’s relevant. We appreciate a well-structured application that’s easy to read!
Apply Through Our Website:We encourage you to apply through our website for the best chance of getting noticed. It’s the easiest way for us to track your application and ensure it reaches the right people!
How to prepare for a job interview at Robert Half
✨Know Your Regulations
Make sure you brush up on the FCA regulations relevant to the role, especially SYSC, FUND, PRIN, and COBS. Being able to discuss these confidently will show that you’re not just familiar with compliance but that you truly understand the framework you'll be working within.
✨Showcase Your Experience
Prepare specific examples from your past roles that highlight your experience in investment management compliance. Whether it’s about drafting compliance policies or handling regulatory returns, having concrete stories ready will help you stand out.
✨Demonstrate Your Analytical Skills
Since the role involves tracking and analysing regulatory changes, be ready to discuss how you've approached similar tasks in the past. Think about how you can convey your analytical mindset and problem-solving skills during the interview.
✨Engage with Compliance Scenarios
Expect scenario-based questions that test your knowledge of compliance issues. Practise how you would handle potential breaches or complaints, and be prepared to discuss your thought process and decision-making in those situations.
