Chief Compliance Officer & Legal Counsel

Location
London
Salary
Negotiable
Posted
28 Sep 2018
Closes
26 Oct 2018
Ref
BBBH32703
Contact
Tom Harvey
Employer Sector
Financial Services
Contract Type
Permanent
Hours
Full Time
Travel
None



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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