Head of Compliance/Senior Compliance Officer

  • Location

    London

  • Sector:

    Financial Services

  • Job type:

    Permanent

  • Salary:

    £75,000 - £100,000

  • Contact:

    Kate Lindsay-Fynn

  • Contact email:

    kate@hurstoneliot.com

  • Job ref:

    Compliance

  • Published:

    2 months ago

  • Expiry date:

    2019-06-16

  • Client:

    #

A renewable energy private equity fund is looking for a part time Compliance Officer to provide 'hands on' compliance support. Prior experience of providing timely and complex compliance and regulatory advice at an operational level to a transaction driven business is essential.

The Compliance Officer will provide compliance leadership, as well as support and advise to the General Counsel in order to assist to embed a risk and compliance awareness culture throughout the business. The Compliance Officer will lead implementation of all compliance processes in order to:

  • Undertake the necessary ongoing steps to implement, maintain and/or enhance the Company's regulatorycompliance with specific FCA and LCIA regulations.
  • Assess and report on the status of regulatory compliance and interact with regulators, including the FCA.
  • Ensure timely and accurate submission of regulatory reports required by the FCA.
  • Advise the General Counsel on matters of regulatory compliance both in regards to ongoing transactions and so as to incorporate all relevant regulatory compliance requirements into the Company’s existing business processes and developments.
  • Investigate and report to the General Counsel on regulatory compliance issues and breaches.

Prior experience of holding both the MLRO (CF11) and Compliance Officer (CF10) reporting roles is important. There is significant flexibility in this role, and it represents an exciting time to join this rapidly growing PE fund.