Our client is seeking an experienced Compliance practitioner to join the London Compliance and Legal team. This position represents an opportunity to support the firm globally in the context of a rapidly expanding and maturing dynamic investment firm, working closely with and reporting to a Director in the Compliance team.
The candidate should have a solid understanding of compliance and regulatory considerations for an internationally regulated investment manager, with a focus on target company regulatory risk assessments, portfolio company monitoring and legal agreement analysis.
Responsibilities will also include regular and ongoing engagement with our clients portfolio companies to provide support and guidance on key risk and compliance matters.
Key Responsibilities
Transaction
Oversee and conduct target company compliance/regulatory due diligence process comprising reputational, financial crime, conflicts of interest and ESG risk assessments.
Develop working relationships with corporate intelligence firms, outside counsel, and consultants to increase the quality and efficiency of due diligence process
Negotiate with target companies for protective contractual provisions
Support communications with funds’ major investors through the Investor Advisory Board to facilitate disclosure of matters requiring investor consent
Foster open channels of communication and collaboration with investment personnel and other functions
Portfolio
Oversee and assist post-investment portfolio monitoring program, through which Compliance periodically oversees the regulatory and reputational risk profile of the platform of portfolio companies
Engage with the firms management, legal, and compliance teams to gain visibility on operations and risk areas and proactively provide support and guidance
Work across portfolio companies to develop a compliance ‘ecosystem’ for best practices, problem solving, pooling expertise
Manage across all stakeholders to coordinate firm-wide group company engagement
Monitor and transition Pre-Investment Committee regulatory due diligence, and assist Portfolio Companies with compliance covenant implementation
Fund
Oversee and assist with screening of investment opportunities for conflicts of interest and investment restrictions. Supervise analysis and mitigation of conflicts of interest. Report findings to senior Compliance and Legal team and assist with preparation for the Conflicts Committee
Manage direct communications with the fund’s major investors through the Investor Advisory Board to facilitate discussions with senior management
Oversee Quarterly Reporting obligations
Group
Manage the relationship and serve as a point of contact with internal stakeholders, including Compliance, Risk, Audit
Support Group initiatives while balancing regulatory considerations and the interests of the fund and its investors
Oversee implementation of and compliance with framework agreements governing the relationship between the firm and our client.
Requirements
Previous experience in compliance in financial services; ideally private equity or venture capital
Experience investigating and addressing a wide range of corporate and operating company risk issues, particularly financial crime, data protection, cybersecurity, conduct, and ESG
The ability to forge close working relations with Compliance colleagues globally
Experience of dealing with outside counsel on regulatory and investigative matters
Excellent organizational, time and project management skills, with the ability to work tight deadlines and build strong cross-functional relationships
Track record of working independently, issue spotting and problem solving. Hands on approach is critical;
Composure to represent Compliance in front of the firm’s senior management team and to present Compliance training sessions
Language skills and legal qualifications a plus but not compulsory
Travel – regular trips to other offices and to visit Portfolio Companies
