Compliance Officer, Private Equity/Private Debt

Eximius Finance
London, United Kingdom
Jul 23, 2022
Aug 19, 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
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

  • 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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