Chief Compliance Officer & Legal Counsel

28 Sep 2018
26 Oct 2018
Tom Harvey
Employer Sector
Financial Services
Contract Type
Full Time

Currently recruiting on behalf of a large Private Equity house for a new Chief Compliance Officer and Legal Counsel to join their London based team. This role would ideally suit a candidate who has worked either within Private Equity or Hedge Funds, and who has a range of multi-jurisdictional regulatory knowledge. This is an immediate vacancy with the business looking to move quickly with interviews.

Key Responsibilities;

  • FSA, FINRA and HKRA Compliance - monitoring the group's compliance programmes,
  • Ownership of the group's compliance manuals,
  • providing training, both personally and via outsourced providers to the team on compliance as required
  • Reporting to the management board quarterly on compliance matters and annual reviews of compliance requirements globally
  • Liaising with regulators in USA, UK, HK, Japan and Canada
  • Maintenance of regulatory registers - gifts, personal dealing, private transactions etc
  • Maintaining database on policies of US public pension plans and other potential investor investment policies of a regulatory or quasi-regulatory nature and explaining same to the deal team
  • US State registrations - maintaining current lobbyist registrations in the United States, and maintaining current know-how, reporting, providing information to the deal team on requirements, supporting the deal team and clients in submission of filings to public pension plans
  • Regulatory and compliance training annually
  • Advising the firm on regulatory law and process
  • Work closely with the General Counsel to support legal needs of the Group, and provide coverage when the GC is absent on matters such as:
  • Engagement letters and client relationship matters
  • Confidentiality letters
  • Contracts of employment and related employment matters

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