Firm Profile


Our client is one of the world’s leading private equity and investment advisory firms with an international network of offices throughout Europe, Asia, Brazil, and the US.  The private equity firm manages funds on behalf of pension funds, financial institutions, sovereign wealth funds and other investors. The private equity firm is renowned for being able to bring vast cross-border resources together quickly to acquire high quality companies and develop them to their full potential.


Summary of Role


In this important role, you will be responsible for administering a number of key Compliance procedures designed to ensure that the firm fulfills its Compliance obligations and avoids reputational damage.  You will get great exposure to a wide spectrum of Compliance areas and issues, as well as work closely with management and business leaders.


Responsibilities of the Role


Code of Ethics

  • Administrating the firm’s global automated Compliance system for personal trades, outside business interests, gifts and entertainment requests, political donations


Compliance Monitoring Program

  • Assisting in the execution of the firm’s Compliance monitoring and testing programme
  • Assist US based Compliance Director in executing the Firm’s Annual Compliance Review and monthly compliance reports to the Global Head of Compliance


Registrations and Training

  • Assist in on-boarding new hires and maintain training logs and the access persons and covered associate list


Control Room

  • Facilitating wall crossings from initial request to the closing out of a wall crossing period
  • Maintenance and administration of systems used to restrict staff trading and record wall crossings


Filings and Record Keeping

  • Organise and maintain all Compliance files and records, including approved marketing materials, investor categorisation records and the breaches log
  • Keeping current on all corporate Compliance filing requirements/deadlines as directed by the Compliance Director, including US lobbyist filings
  • Assisting in the administration of various hedging reporting and disclosure requirements in the U.S.


Deal KYC

  • Undertaking KYC and anti-bribery corruption and sanctions checks on M&A transactions and co-investors


Regulatory Filings

  • Assist US Compliance Director with Form ADV 1, 2a, 2b and Form PF filings


Group Projects

  • Work on projects assigned by the Global Head of Compliance
  • Assisting in developing policies and systems for firm-wide administration of Compliance issues
  • Assist on the implementation of new Compliance procedures


Qualifications & Experience

  • Degree qualified; preferably in law, finance or business
  • Previous experience in legal/ risk/ compliance, preferably within a private equity or investment banking environment
  • Demonstrable understanding of investment banking and/or alternative investment businesses and products
  • General knowledge of the concepts of conflicts of interest
  • Have an understanding of risk management and demonstrate the ability to recognise regulatory risks relating to business decisions
  • Control room experience is an advantage


Skills & Attributes

  • Ability to work well in a team environment, as well as independently
  • Strong attention to detail
  • Excellent communication and negotiation skills
  • Confidence to challenge information and raise with relevant key stakeholders where necessary
  • Able to learn quickly
  • Effective organisational and time management skills
  • Ability to speak other languages is desirable


Please email resumes to Jack@ComplianceSearch.com.



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