PE Compliance Associate - fixed term contract PE Compliance Associate - fixed term contract …

Eximius Finance
in London, United Kingdom
Contract, Full time
Last application, 17 Oct 21
60,000
Eximius Finance
in London, United Kingdom
Contract, Full time
Last application, 17 Oct 21
60,000
Posted by:
James Thompson • Recruiter
Posted by:
James Thompson
Recruiter
A leading private equity business is looking to hire a maternity cover for between 12-15 months based n London..

-Dealing:
o maintaining and updating the Restricted List; circulating the List to the investment teams at regular intervals for review
o monitoring PA transactions and granting trade requests in the system, chasing unmatched trade confirms; escalating breaches to the Head of Compliance
-monitoring and chaperoning expert network calls held by the investment team;
-assisting in identifying, investigating and resolving non-compliant activity within the business, maintaining the breach register, logging offences and escalating to the Head of Compliance;
-providing compliance induction training for all new joiners (except US); monitoring completed new joiner forms ;
-arranging annual compliance training, assisting in preparing presentation slides, hand-outs, and maintaining register of attendees;

Required experince:

Compliance experince (ideally from PE)

Knowledge of financial services regulations

 

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