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