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, hybrid working, and professional development opportunities.
- Other info: Opportunity to work with industry experts and advance your career in a fast-paced environment.
- Why this job: Join a dynamic team and make a significant impact on compliance in the finance sector.
- Qualifications: 7+ years in investment management compliance and strong knowledge of FCA regulations.
The predicted salary is between 68000 - 85000 € 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 Wolverhampton 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 development. We offer competitive salaries, hybrid working options, and a culture that values compliance excellence and collaboration, ensuring you have the resources and opportunities to excel in your role while contributing to meaningful financial practices.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager - Private Equity & Venture Capital firm in Wolverhampton
✨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 interviews by brushing up on FCA regulations and compliance frameworks. We recommend creating a cheat sheet of key points to discuss. This will help you sound confident and knowledgeable when chatting with potential employers.
✨Tip Number 3
Showcase your experience with compliance monitoring and regulatory reporting during interviews. We want to hear about specific examples where you’ve made an impact. Use the STAR method (Situation, Task, Action, Result) to structure your answers.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive and engaged with our platform.
We think you need these skills to ace Compliance Manager - Private Equity & Venture Capital firm in Wolverhampton
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. Talk about your experience with FCA regulations and compliance monitoring. We love seeing practical examples!
Be Clear and Concise:When writing your application, keep it clear and to the point. Use straightforward language and avoid jargon unless it's necessary. 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 helps us keep track of applications and ensures you’re considered for the role. Don’t miss out on this opportunity!
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 overseeing compliance monitoring or preparing regulatory reports, having concrete examples ready will help you stand out.
✨Demonstrate Your Training Skills
Since the role involves conducting compliance training, think about how you can demonstrate your ability to educate others. Share any experiences where you’ve successfully trained teams or created training materials, as this will be key for the position.
✨Ask Insightful Questions
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 gauge if the company aligns with your values and work style.
