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Senior Compliance Manager - Private Equity

Full Time
Greater London
09-03-2023 10:25 AM

Responsibilities & Duties:

Reporting to the Head of Compliance the Senior Compliance Manager should have varied experience to be responsible a wide range of matters including:

  • Advisory compliance support across the business
  • Approved Person/Senior Managers and Certification Regime monitoring – Conduct Fitness and Propriety Assessments, annual staff undertakings, outside business interests, and produce Certification Regime Certificates and update directory
  • Advise on ESG reporting e.g., SFDR disclosures, ESG Sourcebook reports, TCFD reporting
  • Work with Compliance Team to conduct compliance monitoring in line with UK and US regulatory requirements
  • Assistance in implementing regulatory change and conduct regulatory change horizon scanning e.g., Consumer Duty, SDR
  • Prepare questionnaires for and conduct third party service provider due diligence
  • Preparing regulatory submissions and applications
  • Produce training slides and conduct compliance training
  • Support to maintain logs and record keeping – e.g., Breaches, Conflicts, GDPR, approved persons, remuneration code staff, CPD for IDD obligations, gifts
  • Regular collection of compliance and risk MI for preparing Risk Management and Board reports
  • Review and approve financial promotions
  • Maintain insider lists and obtain appropriate attestations
  • Provide support and sounding board for the UCITS Compliance Manager
  • Conduct Deep dive projects and Gap analyses e.g., CASS, product governance

The individual will work with the Compliance Team and particularly very closely with the existing Senior Compliance Manager to conduct these activities. It is vital that there is a strong partnership between an individual hired for this new position and the existing Senior Compliance Manager


  • Strong Knowledge and understanding of AIFMD, MiFID II, UCITS regulation and the FCA Handbook
  • Demonstrable knowledge of KYC and AML legislation and procedures
  • Demonstrable knowledge and understanding of the financial promotion’s rules
  • Knowledge and understanding of ESG regulation including TCFD, SFDR, ESG Sourcebook and upcoming ESG regulations
  • Knowledge of US Investment Company Act 1940 and SEC regulation for registered investment advisors – experience working at SEC registered investment advisors preferable
  • Good product knowledge- VCT’s (including those trading in AIM listed products), Listed Investment Trusts, GP/LP structures, EIS, OEIC’s
  • Able to work independently and within a team
  • Interpersonal skills to work with various teams
  • Willing to do simple administrative and also more complex advisory work
  • Interest in using technology to find solutions to maintain compliance records
  • Organized, analytical and prepared to constructively challenge status quo
  • Strong attention to detail

Qualifications and Experience Requirement:

Strong academic background, law undergraduate degree preferable but not necessary, ideally including a post-graduate qualification and/or compliance professional diploma, 7-10 years’ experience working with buy side Alternative Fund Manager

If you have this experience and are interested please contact Fergus Hooley in confidence without delay 

Fergus Hooley


07425 325267