Senior Compliance Officer - Private Equity - eFinancialCareers

A splendid opportunity at a leading private equity firm

A generalist role with a broad remit across UK and US compliance matters. The successful candidate will help to ensure the firm’s adherence to FCA and SEC regulatory requirements.

This is an exciting opportunity to contribute to a dynamic and fast paced environment with international exposure.

Key Responsibilities

1. Supporting in meeting FCA and SEC regulatory obligations.
2. Monitor regulatory developments in the UK and US, assess their impact on the Firm, and contribute to related change projects and cross-functional compliance initiatives.
3. Contribute to the Firm’s fundraising and marketing efforts including by supporting compliance-related aspects of investor communications, materials and registrations.
4. Lead the design and implementation of the firm’s Compliance Monitoring Programme.
5. Draft and review compliance policies, procedures, and internal communications.
6. Provide compliance guidance and training to staff across the Firm.
7. Conduct AML and KYC reviews for transactions and portfolio companies.
8. Respond to regulatory inquiries and coordinate with external auditors, legal counsel, and other service providers.
9. Support the Investor Relations team with due diligence questionnaires and investor queries.
10. Prepare and minute internal committee meetings sessions.

Required Background and Skills

• University degree in law or a related field (preferred but not essential).

• 4+ years of compliance or legal experience, ideally within financial services or asset management.

• Familiarity with FCA and/or SEC regulations.

• Experience drafting policies and reviewing legal and regulatory documentation.

• Strong analytical skills and attention to detail.

• Ability to work independently and escalate issues appropriately.

• Excellent communication and interpersonal skills.

• A proactive and collaborative approach to working in a global compliance team.