Senior Compliance Officer - Private Equity

About the role

This senior compliance position sits within a leading private equity firm and offers a generalist remit covering both UK and US regulatory matters. You will help ensure the firm meets FCA and SEC requirements while supporting fundraising, marketing and investor relations activities.

Key responsibilities

• Support the firm in meeting FCA and SEC regulatory obligations.
• Monitor regulatory developments in the UK and US, assess impact and contribute to change projects.
• Assist fundraising and marketing efforts by handling compliance aspects of investor communications and registrations.
• Lead the design and implementation of the firm’s Compliance Monitoring Programme.
• Draft and review compliance policies, procedures and internal communications.
• Provide compliance guidance and training to staff across the firm.
• Conduct AML and KYC reviews for transactions and portfolio companies.
• Respond to regulatory inquiries and coordinate with external auditors, legal counsel and other service providers.
• Support the Investor Relations team with due‑diligence questionnaires and investor queries.
• Prepare and minute internal committee meetings.

Required profile

• University degree in law or a related field (preferred but not essential).
• 4+ years of compliance or legal experience, ideally within financial services or asset management.
• Familiarity with FCA and/or SEC regulations.
• Experience drafting policies and reviewing legal and regulatory documentation.
• Strong analytical skills and attention to detail.
• Ability to work independently and escalate issues appropriately.
• Excellent communication and interpersonal skills.
• Proactive and collaborative approach within a global compliance team.

Required skills