Compliance Private Equity - London, United Kingdom - Carnegie Consulting Ltd

Carnegie Consulting Ltd

Verified Company

London, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

This is a stand alone role, supporting the Chief Compliance Officer (who has the responsibility but concentrates on his primary title) and one of the Senior Directors, therefore will provide board level exposure.

This is a challenging but rewarding position.

Challenging because you will be the compliance specialist in a demanding firm, rewarding for the same reason as well as financially.

The Role
The prime emphasis of this role will be Compliance Monitoring. AML experience will count for very little. This is _not_ and AML / Financial Crime position.

Compliance Monitoring:

Market Conduct
Personal Account Dealing
Conflicts
Breaches
Complaints
Information Barriers
Restricted Lists

Generalist Compliance:

Regulatory filings for FCA and CSSF
MNPI / MAR procedures
Reviewing and revising policies and procedures
Responding to investor due diligence questions on compliance
Reviewing nondisclosure agreements
Manager Level compliance experience with at least 4 years of these being in a highly regarded FCA regulated Buy Side firm (Asset Management, investment Management, Private Equity etc). Brokerages or Legal firms might also work
High attention to detail
Concise written style (please demonstrate with a 2 page CV)
Strong academics, ideally with relevant compliance qualifications

This role is 3 days in the office, 2 days working from home.