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Compliance Executive - Investment Management (Perm or Contract)

Information About This Job

Job Title: Compliance Executive - Investment Management (Perm or Contract)
Contract Type: Permanent
Location: London
Salary: £Competitive perm salary or day rate
Contact Name: Ben Kinley
Contact Email:
Job Published: over 1 year ago

Job Description

The Role


  • The Business Integrity and Compliance team plays an important role in reinforcing our reputation as a responsible investor; ensuring the business meets its regulatory commitments with respect to the FCA, having systems and controls in place to counter the risk that might be used to further financial crime and working to enhance private sector standards in financial crime management in our target geographies.
  • The Compliance Executive will be focused on the effective management of regulatory compliance risk and the design, implementation and adherence to the compliance arrangements of our operations. In parallel, the Executive will promote the importance of business integrity both within and outside of the business  In addition, the Executive may be required to provide support to the team’s Business Integrity functions.


Key Responsibilities

  • Handle FCA compliance matters arising from our operations including compiling any relevant regulatory returns and reports and submitting these via the Gabriel system.


  • Ensure the effectiveness of current policies, procedures and controls by undertaking monitoring of selected areas in line with a compliance monitoring programme and assist with the ongoing enhancement of that monitoring.


  • Assist in the drafting and updating of firm and group wide policies and procedures and deliver compliance training to the business, to include the annual AML, ABC and Compliance training programmes.


  • Keep abreast of UK compliance requirements relevant to our operations as well as understanding the compliance obligations in the other countries in which the business operates, and assist in responding to regulatory change where required.


  • Develop the investment teams’ knowledge of compliance requirements by delivering tailored training and updates at team meetings.


  • Assist in the preparation of MI reports on compliance and regulatory issues for senior management ahead of board and senior management meetings.


  • Support in facilitating identification, assessment and mitigation of Compliance and Business Integrity risks, and manage the updates to the Compliance risk registers as required.


  • Contribute to the maintenance of positive and professional relationships throughout the organisation, including our fund, debt, equity and other operational teams.


  • Contribute to briefing notes and documents published as part of the team’s external communications programme.


  • As and when required, undertake public record research on individual investment proposals as part of integrity due diligence as well as providing support to the Business Integrity team’s monitoring commitments to portfolio companies which may include helping prepare materials, collecting data and organising monitoring schedules.


 The Candidate



  • Detailed knowledge of FCA compliance requirements for UK regulated financial institutions, particularly in private equity, asset management or investment banking;
  • 5 + years’ experience in managing compliance issues in a UK regulated financial institution, with at least two years in private equity, asset management or investment banking; Experience with an alternative investment fund manager would be advantageous.
  • Demonstrated interest in emerging markets, especially our target geographies in Africa and South Asia;
  • Interest in developing knowledge and experience in one or more of the team’s focus areas: anti-corruption, anti-money laundering and counter terrorist financing (AML/CFT);
  • University degree and preferably a postgraduate qualification in a relevant discipline.


Technical Skills

  • Sound knowledge of the FCA handbook, in particular PRIN, SYSC, COCON, COND, APER, COBS, CASS, and MAR as they apply;
  • Preferable experience in private equity, asset management, investment banking or alternative investment fund management;
  • Knowledge of a range of compliance methodologies, tools and techniques;
  • Preferable experience in managing compliance across offices in several different jurisdictions including emerging market jurisdictions;
  • Existing thematic knowledge of integrity and compliance issues in our target geographies would be an advantage;


Desirable - Experience in at least one or more of the following:

  • Financial Crime compliance, preferable in private equity or investment banking;
  • Managing AML/CTF, sanctions or anti-corruption issues within the UK financial services sector.
  • Research and investigations around financial crime issues;


Personal Skills

  • Systematic approach to work with an attention to detail;
  • Ability to plan ahead and proactively address issues;
  • Demonstrated ability to independently manage and prioritise a busy and diverse workload with a range of deliverables for a variety of stakeholders;
  • Confident and articulate, with excellent written and verbal communication skills;
  • Highly motivated and results driven;
  • Strong research and analytical skills;
  • Good report writing ability;
  • Enjoy working as part of a team and willing to collaborate and support the team on a variety of different initiatives and tasks.
  • Competency in one or more languages relevant to our target geographies would also be an advantage.

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