Compliance Advisory VP – Private Markets


    Bond McKenzie

    Compliance Advisory VP – Private Markets

    Role Description:

    An exciting new VP level Compliance contract opportunity has arisen with a large Asset Manager in their London office, for a Compliance Advisory specialist in the growth areas of equity private markets, private debt and multi-alternative solutions. In this role, you will provide:

    • Regulatory compliance support to product development teams, on conflicts of interest, market abuse, regulatory implementation, investment allocation and reallocation, cross trades etc.
    • Advise on conduct of business requirements and the application of compliance policies + contribute to management reporting on compliance matters.

    Key Responsibilities:

    • Provision of qualitative compliance advice and support to the relevant business areas within Private Markets
    • Review of relevant regulatory developments and onward communication to the relevant business areas where appropriate
    • Active participation in compliance or business-driven projects, including regulatory developments and supporting strategic growth initiatives
    • Providing Compliance representation throughout the Product Development process of Private Markets institutional and wealth products, review of fund documentation and provision of regulatory advice
    • Liaising with portfolio managers and other investment staff on regulatory matters and the application of compliance policies, e.g., inside information and wall-crossings, crossing, allocation and re-allocation, conflicts of interest;
    • Support of the Capital Markets team on regulatory matters, including advising on application of Information Barrier policy, Restricted Lists and applicable regulation
    • Drafting and maintenance of policies and procedures;
    • Supporting the design and delivery effective regulatory training initiatives to the business.

    Skills, Knowledge / Experience sought:

    • 8-10 years’ experience within a Legal or Compliance role, supporting private markets investment teams and funds.
    • Deep understanding of the EMEA regulatory environment applicable to private assets and funds.

    Previous articleAccommodation Officer
    Next articleSales Consultant