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Eximius Group

Compliance Officer, Private Equity/Private Debt

Eximius Finance
United Kingdom, London
Posted 5 days ago Hybrid Permanent £100,000
L
Posted by
Lee Barnish
Recruiter
This role provides advice and support to the senior managers of the UK Merchant Banking business primarily, but not limited to trading, conflicts management, information barriers and surveillance. Focus on Private Equity and Private Debt Investment Management Compliance.

Responsible for the Merchant Banking (private equity / private debt funds) UK compliance, specifically:

  • Managing compliance arrangements for the firm’s trading activities in line with required UK and EU regulations
  • Management of the firm’s information barriers, and related control room activities
  • Demonstrate good understanding of conflicts management, inducements, personal account dealing and research arrangements to enhance current processes
  • Work with the wider Compliance team to clear relevant transactions, assisting with the implementation of appropriate controls
  • Assisting the business with assessment and control of MNPI, review of insider list arrangements, watch and restricted lists
  • Maintain trading surveillance functions including daily review, alerts and breach investigation
  • Contribute to the on-going development of the compliance framework, including writing and maintaining policies and procedures in a dynamic environment and deliver relevant training
  • Continued assessment of current and emerging UK regulation and its impact on the Firm across the Private Equity and Private Debt investment management business
  • Involvement in relevant wider compliance projects and issues across the Firm as they relate to the Merchant Banking business

Experience

  • Proven track record / relevant broad compliance experience gained in an Investment Management business, with a strong preference for Private Equity and / or Private Debt experience
  • MAR and MIFID expertise required and gleaned over several years, preferably with Control Room experience
  • Good understanding of financial markets
  • Thorough knowledge of Financial Services regulation (FCA, MiFID, AIFMD, MAR) in wholesale markets world as it affects and applies to Private Equity / Private Debt
  • Legal qualification (within financial services) or a Compliance qualification such as from the Chartered Institute of Securities and Investments.
  • 7 years plus experience in Compliance
Job ID  LB40273
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United Kingdom, London
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