Compliance Officer

3 days ago

London, Greater London, United Kingdom Tikehau Capital Full time £60,000 - £120,000 per year

Responsibilities
Tikehau Capital is seeking a Compliance Officer to support and execute the compliance programme across the UK and Middle East regions. This position, based in the UK, reports directly to the Head of UK and Middle East Compliance.

Key responsibilities include, but are not limited to, the following duties:

  • Proactively conducting conflict of interest checks for investment opportunities, identifying, assessing and advising on appropriate mitigation strategies;
  • Ensuring continual employee adherence with policies and procedures;
  • Maintaining thorough, up-to-date and organised records of all compliance-related documentation, communications and employee training activities, ensuring timely follow-up and comprehensive audit trails;
  • Developing and updating compliance training materials and delivering training to local and international offices;
  • Reviewing and approving marketing materials;
  • Supporting adherence to anti-money laundering (AML) regulations by conducting know-your-customer (KYC) and know-your-investment (KYI) due diligence;
  • Executing periodic compliance monitoring across business activities, identifying issues, providing recommendations and supporting remediation;
  • Reviewing and updating compliance policies, procedures and risk assessments to reflect regulatory and product developments, and best practices;
  • Actively contributing to global compliance projects and initiatives;
  • Collaborating closely with global compliance teams on a range of tasks and responsibilities.

Profile

  • Bachelor's degree or higher in Finance, Economics, Business, Law or relevant courses of study
  • 3yrs+ of regulatory compliance experience within the financial services industry
  • In-depth understanding and practical application of FCA rules, guidance and regulatory expectations
  • Ability to exercise discretion and make independent judgments on matters of significance
  • Proficient in preparing compliance reports, risk assessments and oversight documentation
  • Demonstrated professional integrity
  • Ability to work independently, multi-task and prioritise effectively in a fast-paced, small-team environment
  • Establish and maintain effective working relationships with colleagues
  • Excellent verbal and written communication skills in English.

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