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Job Specification


£50K + Benefits | City & WFH (50/50) 
Ref: 3785D3

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent


Our client, an expanding & interesting Private Equity firm, is looking to recruit their first full time Assistant to the experienced Head of Compliance. In an interesting & varied role, duties will include; 

  • Manage the day-to-day Compliance Monitoring Programme 
  • Assist with the review, maintenance and development of compliance policies and procedures 
  • Oversee the implementation and management of the online compliance platform 
  • Overseeing management of inside information in accordance with applicable procedures 
  • Managing personal account dealing requirements 
  • Annual FCA & SEC reporting 
  • Ad hoc FCA notifications / applications 
  • Assisting with management of internal risk event reporting 
  • Support on the implementation of the GDPR update project 
  • Assist in GDPR monitoring programme 
  • Managing FCA approvals of senior managers and certified staff 
  • AML responsibilities as allocated 
  • Ad hoc projects as required 

You should have a law degree either with Financial Services Compliance Experience (not only AML/KYC) or else at least two years Paralegal experience, now looking to specialise in Private Equity Compliance (full training provided). NB the role will be based 50/50 WFH to begin with, then probably 33% in the office after the first few months if requested. 

So, if that sounds like you, then please send your details to our MD, David Symes FCA, at (including a contact no) however please note due to COVID-19 we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission). 


Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. 

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge. 

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