Head of Compliance UK

7 days ago

London, Greater London, United Kingdom Allocator One GmbH Full time

About Allocator One:

Allocator One is a pioneering venture capital platform specializing in anchoring and accelerating the top 3% of first-time fund managers, focusing on high-potential, early-stage venture. We provide substantial operational support, expertise, and a global network to our fund managers, enhancing value creation within our portfolios and reducing inefficiencies associated with first-time funds.

Tasks

Role Summary:

The Head of Compliance at Allocator One UK will oversee the firm's compliance framework, ensuring adherence to all regulatory requirements and internal standards across various geographies. The candidate will have experience acting in SMF 16 (Compliance Oversight) and 17 (Money Laundering Reporting Officer) positions. This strategic role involves developing, implementing, and maintaining robust compliance policies and programs, and providing guidance on compliance matters to senior management and other stakeholders.

Key Responsibilities:

  • Develop and maintain the compliance program, ensuring it meets all regulatory requirements and aligns with global best practices.
  • Manage all aspects of compliance, including regulatory licenses, monitoring policies, conducting audits, and leading investigations.
  • Implement a robust program and manage processes to prevent unauthorized release of sensitive information.
  • Liaise with regulatory authorities and manage all compliance-related issues.
  • Support new fund approvals and manage compliance aspects of local business ventures.
  • Foster a culture of compliance and integrity throughout the organization by conducting regular training sessions and updates.
  • Ensure that all funds adhere to relevant local regulations.
  • Monitor changes in legislation and regulatory policies that impact venture capital operations and implement necessary updates to compliance frameworks.
  • Develop and manage an effective AML program that includes monitoring LP transactions for signs of money laundering and other illicit activities.
  • Ensure that all LPs are screened against global sanctions lists and watchlists as part of ongoing due diligence processes.
  • Adjust the depth of KYC and monitoring processes based on the risk profile of each LP, implementing more stringent controls for higher-risk LPs.
  • Handle all regulatory inquiries, inspections, and audits, ensuring that issues are resolved promptly and efficiently.
  • Evaluate and enhance compliance infrastructure and practices to support scalable and efficient operations of multiple funds
  • Lead strategic compliance initiatives to enhance the operational efficiency and regulatory compliance of the funds.
  • Work closely with the executive team to align compliance strategies with business goals and investor expectations.
Requirements
  • At least 5-10 years of experience in Compliance, Risk Assessment & Mitigation, preferably with experience in funds
  • Deep understanding of SMF 16 and 17
  • Proven track record in leading compliance and risk management functions.
  • Strong leadership, interpersonal, and analytical skills.
  • Comprehensive knowledge of the venture capital industry is preferred.
  • Law degree or Company Secretaryship is advantageous but not mandatory.
  • Excellent problem-solving abilities and a proactive approach to identifying and managing potential risks.
Benefits

What We Offer:

  • A dynamic and innovative environment with access to cutting-edge ventures.
  • The opportunity to work in a global team and impact the venture capital landscape.
  • Competitive compensation package and opportunities for professional growth.

Interested candidates should submit their CV along with a cover letter outlining their specific compliance experience and why they would be a good fit for Allocator One.

This role is ideal for someone with a strong compliance background looking to impact the evolving landscape of venture capital investment by ensuring the highest standards of compliance and governance.

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