Compliance Officer, Private Equity/Private Debt

Responsible for the Merchant Banking (private equity / private debt funds) UK compliance, specifically:

Managing compliance arrangements for the firm's trading activities in line with required UK and EU regulations
Management of the firm's information barriers, and related control room activities
Demonstrate good understanding of conflicts management, inducements, personal account dealing and research arrangements to enhance current processes
Work with the wider Compliance team to clear relevant transactions, assisting with the implementation of appropriate controls
Assisting the business with assessment and control of MNPI, review of insider list arrangements, watch and restricted lists
Maintain trading surveillance functions including daily review, alerts and breach investigation
Contribute to the on-going development of the compliance framework, including writing and maintaining policies and procedures in a dynamic environment and deliver relevant training
Continued assessment of current and emerging UK regulation and its impact on the Firm across the Private Equity and Private Debt investment management business
Involvement in relevant wider compliance projects and issues across the Firm as they relate to the Merchant Banking business

Experience

Proven track record / relevant broad compliance experience gained in an Investment Management business, with a strong preference for Private Equity and / or Private Debt experience
MAR and MIFID expertise required and gleaned over several years, preferably with Control Room experience
Good understanding of financial markets
Thorough knowledge of Financial Services regulation (FCA, MiFID, AIFMD, MAR) in wholesale markets world as it affects and applies to Private Equity / Private Debt
Legal qualification (within financial services) or a Compliance qualification such as from the Chartered Institute of Securities and Investments.
7 years plus experience in Compliance

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