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    1st Line Compliance Officer - London, United Kingdom - Venn Group

    Venn Group
    Venn Group London, United Kingdom

    1 month ago

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    Venn Group background
    Full time
    Description
    The Compliance Officer is responsible for preparing and submitting mandatory reports to clients and regulatory authorities across various jurisdictions. This role includes making statutory disclosures, establishing a strong control environment, and updating processes based on regulatory changes.

    Key Responsibilities:

    • Submit timely and accurate reports to global regulatory authorities (e.g., SEC Form PF, SEC Schedule 13, FCA Gabriel reporting).
    • Develop and maintain regulatory reporting procedures and documentation.
    • Monitor reports for exceptions and perform root-cause analysis.
    • Collaborate with Compliance, Risk, Finance, and Technology teams on regulatory changes.
    • Manage European transaction reporting ARM and reconcile with FCA MDP portal.
    • Ensure accurate shareholder threshold disclosures.
    • Support MiFID and PRIIPs reporting (e.g., EMT, EPT).

    Qualifications:

    Knowledge of European, UK, and US regulations in asset/fund management.


    Experience with MiFID, AIFMD, and SEC (1940 Act) reporting.


    Understanding of UCITS, AIF, and SEC product characteristics is a plus.


    Ability to interpret financial legislation.

    This role requires a detail-oriented and proactive individual with strong organizational skills and the ability to manage multiple priorities in a dynamic environment.

    The ideal candidate will have a solid understanding of regulatory requirements and be adept at collaborating across various departments to ensure compliance and accurate reporting.


    To discuss further, please contact the Financial Services team ayt Venn Group.

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