At a Glance
- Tasks: Ensure compliance with FCA regulations and oversee compliance monitoring programmes.
- Company: Leading Private Equity & Venture Capital firm in London.
- Benefits: Competitive salary, bonus, and hybrid working options.
- Other info: Opportunity for career growth in a fast-paced environment.
- Why this job: Join a dynamic team and make a real impact in compliance management.
- Qualifications: 7+ years in investment management compliance and strong FCA knowledge required.
The predicted salary is between 80000 - 100000 € per year.
£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 Guildford 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 professional growth and compliance excellence. 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 financial sector.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager - Private Equity & Venture Capital firm in Guildford
✨Tip Number 1
Network like a pro! Reach out to your connections in the private equity and venture capital space. Attend industry events or webinars, and don’t be shy about introducing yourself. We all know that sometimes it’s not just what you know, but who you know!
✨Tip Number 2
Prepare for those interviews by brushing up on FCA regulations and compliance frameworks. We recommend creating a cheat sheet of key points to discuss. Show them you’re not just familiar with the rules, but you can also apply them in real-world scenarios.
✨Tip Number 3
Don’t forget to showcase your experience with compliance monitoring and regulatory reporting. We suggest using specific examples from your past roles to demonstrate your expertise. This will help you stand out as the ideal candidate for the Compliance Manager position.
✨Tip Number 4
Finally, apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive and take the initiative to connect directly with us.
We think you need these skills to ace Compliance Manager - Private Equity & Venture Capital firm in Guildford
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 to the role. 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. Don’t miss out!
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 compliance monitoring and regulatory reporting. Use the STAR method (Situation, Task, Action, Result) to structure your answers, making it easier for the interviewers to see your impact in previous positions.
✨Be Ready for Scenario Questions
Expect scenario-based questions where you might need to demonstrate how you would handle compliance breaches or regulatory changes. Think through potential situations beforehand and outline your thought process on how you would approach them.
✨Engage with the Interviewers
Don’t forget that interviews are a two-way street! Prepare thoughtful questions about the firm’s compliance culture and how they handle regulatory changes. This shows your genuine interest in the role and helps you assess if the company is the right fit for you.
