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Compliance Officer

Compliance Officer

The Green Recruitment Company are delighted to be partnered with a Renewable Energy Private Equity Firm.

They are looking for an experienced compliance officer to maintain and implement their compliance efforts and to hold the SMF16 and SMF17 functions.

The ideal candidate will have experience working as a Compliance Officer in either a listed, investment or infrastructure firm. The successful candidate will be well organised, self-motivated and a good communicator.

You will be responsible for overseeing and implementing regulatory compliance policies and procedures. You will work closely with investor relations stakeholders to ensure publications and announcements comply with AIFM policies and regulatory expectations.

Key Responsibilities:

  • Oversight of compliance for the firm & acting MLRO.

  • Review fundraising and investor-facing documentation to ensure compliance with MAR and FCA requirements, providing concise, accurate and helpful support to colleagues

  • Maintain and assess effectiveness of compliance and monitoring policies and protocols

  • Prepare and deliver relevant compliance training

  • Track regulatory developments and provide risk and compliance updates and reports for committees, board and annual meetings

  • Submit FCA filings

  • Review all public-facing documentation to ensure compliance with legal and regulatory expectations

  • Line management of one direct report.

Requirements/Qualifications

  • At least 6 years of relevant experience working in compliance within the private sector and/or at the regulator.

  • Excellent working knowledge of FCA Handbook, regulatory expectations & MiFID.

  • Attention to detail and discipline with deadlines

  • Self-motivated and pride in work product

  • Legal or compliance qualifications preferred

  • Team player who can work closely with a variety of different stakeholders, but who isn’t afraid to provide challenge when necessary