Director of Compliance

3 weeks ago

London, United Kingdom FS Talent Group Full time

Compliance Director

Private Equity & Alternative Investment Manager

London

£150k - £200k base DoE PLUS Bonus and Benefits


A leading private equity firm specialising in alternative investments, is seeking a Compliance Director. The firm, renowned for its focus on real estate, infrastructure, private credit, and hedge funds.


Role Overview: The Compliance Director will play a crucial role in overseeing the firm’s compliance function. This individual will be responsible for ensuring that all business activities adhere to the relevant regulatory requirements and internal policies. The role demands close collaboration with the executive team, investment professionals, and legal counsel to identify and manage compliance risks, thereby protecting the firm’s reputation and operational integrity.


Key Responsibilities:

Strategic Compliance Leadership:

  • The Compliance Director will be tasked with developing and implementing a comprehensive compliance program that aligns with the firm’s strategic objectives and regulatory obligations.
  • This individual will lead and guide the compliance team of 3, ensuring that compliance risks are effectively managed and mitigated.
  • The Director will act as a key advisor to senior management, providing insights on regulatory developments and their potential impact on the firm.

Regulatory Compliance:

  • Ensuring the firm’s compliance with relevant regulations, including those of the FCA (Financial Conduct Authority), SEC (Securities and Exchange Commission), and other global regulatory bodies, will be a primary responsibility.
  • The Compliance Director will oversee the preparation and submission of required regulatory filings, such as Form ADV, FATCA, and AIFMD.
  • Monitoring regulatory changes and implementing necessary adjustments to the firm’s policies and procedures will be essential to maintaining compliance.

Risk Management and Monitoring:

  • The Director will be responsible for identifying, assessing, and managing compliance risks across the firm’s alternative investment strategies.
  • They will develop and maintain a robust framework for monitoring and reporting these risks, ensuring timely escalation of any issues to senior management.
  • Overseeing the implementation of internal controls to effectively manage and mitigate compliance risks will be a critical part of the role.

Policy Development and Enforcement:

  • The Compliance Director will draft, update, and enforce the firm’s compliance policies and procedures, ensuring they are in line with current regulations and best practices.
  • Regular compliance training for all employees, aimed at ensuring a strong understanding of regulatory obligations and firm policies, will be led by the Director.
  • The management of the firm’s code of ethics and personal trading policies will also fall under the Director’s purview.

Audit and Investigations:

  • Leading internal and external compliance audits, and ensuring thorough preparation and cooperation with auditors, will be key responsibilities.
  • The Director will conduct internal investigations into potential compliance violations and recommend corrective actions as necessary.
  • They will also be responsible for preparing and presenting detailed compliance reports to the board of directors, highlighting key compliance metrics and areas of concern.

Stakeholder Engagement:

  • Acting as the primary liaison with regulatory bodies, external auditors, and other stakeholders will be a crucial aspect of this role.
  • The Compliance Director will build and maintain strong relationships with regulators and industry bodies and represent the firm in industry forums.
  • Collaboration with external advisors and consultants to enhance the firm’s compliance framework will also be expected.

Culture and Ethics:

  • The Compliance Director will be instrumental in promoting a culture of compliance and ethical behaviour throughout the firm.
  • They will encourage open communication about compliance issues and foster an environment where employees feel empowered to raise concerns.


Qualifications:

  • Education: A Bachelor’s degree in Law, Finance, Business, or a related field is required. Advanced degrees or professional certifications (e.g., CFA, FRM, ICA) are preferred.
  • Experience: The ideal candidate will have at least 10 years of experience in a compliance leadership role within the financial services industry, with a strong focus on private equity, asset management, or alternative investments.
  • Knowledge: A deep understanding of regulatory requirements for private equity and alternative investments, particularly global regulations (FCA, SEC, AIFMD), is essential.
  • Skills: Strong leadership and interpersonal skills, along with exceptional analytical, problem-solving, and decision-making abilities, are required.
  • Personal Attributes: High ethical standards, meticulous attention to detail, and a proactive approach to managing compliance challenges are necessary for success in this role.

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