£500.00 - £600.00 / day
4th April 2019
Senior Compliance Interim (Private Equity)
Robert Half are representing a Mayfair based Private Equity Asset Manager to urgently hire a senior Compliance Interim/ Manager of Compliance for a 3-month paternity-cover contract.
The Compliance role is Generalist Compliance interim, covering senior Compliance responsibilities. The role is due to start by ideally between mid/ end of April, for a training and hand-over period.
Their funds are both Private Equity and Infrastructure investments and there are various support groups into the role including the CEO, Head of Risk & Technology etc. Our client is looking for a solid senior Compliance Interim, who is confident I their abilities and who can learn fast and add value quickly too.
The chosen candidate must be prepared to get their hands dirty and be able to cover across routine administration, monitoring and advice where required. If a candidate is not willing to do some of the more routine tasks, then this is probably not the role for them.
As background the company are a real assets manager with over 150- staff across offices in the UK, plus 3-4 international offices, with the nature of transactions being big ticket low volume. The Compliance team sits side by side with the Risk, Technology and Operations team (which includes Co sec) and there is overlap cross cover between the teams.
The role supports 50-60 Deal originators (Front Office) and the role involves core Compliance, signing off marketing materials, boards reports, Compliance monitoring, routine filings to the FCA.
Aspects to be covered include:
- Management of Screening Tool (Worldcheck)
- Marketing documentation reviews and advice on global marketing and disclaimers
- KYC - Counterparty DD & Investor DD
- Maintenance of all logs:
- PA Dealing
- Gifts and Hospitality
- Preparation of quarterly Board report
- Emerging risk notes
- FCA routine and ad-hoc filings
- Coordinate PDMR Reporting (doe listed HICL and TRIG) with external co sec
- Ad-hoc project work
£500 per day- £600 per day.
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