Compliance Director (Maternity Cover 12 Months, FTC)

Governance

• Ensure accuracy and completeness of Compliance Committee papers and minutes.
• Own the suite of compliance policies, procedures and registers, ensuring they remain current and fit for purpose. Lead the creation of new policies, procedures and team processes.
• Lead production of annual regulatory reports, including the Annual SYSC Report, Financial Crime Risk Assessment, and Annual Compliance Officer Report.
• Manage regulatory risk assessment and input into remuneration policy compliance.
• Oversee and review the ICARA process and MIFIDPRU 8 disclosures.
• Ensure Compliance-related side letter requirements are met e.g. on AML/KYC and financial crime requirements.

Employee Compliance

• Administer Code of Ethics, SMCR requirements and the Material Risk Takers regime.
• Assist with e-communications surveillance and escalation as required.
• Oversee personal account dealing requests, notifications, and contract note compliance.
• Oversee the management of broker feeds and connectivity for PA dealing surveillance.
• Oversee conflicts of interest disclosures including gifts and entertainments, outside business interests.
• Oversee and ensure timely administration of annual and ad-hoc Compliance training.
• Oversee and ensure timely administration of employee attestations and certifications.
• Ensure any regulatory applications for staff are submitted in a timely manner upon joining or post-promotion/change of circumstance e.g. Directory Person notifications, SMF applications etc.

Communications, Marketing and Fundraising

• Review and approve financial promotions and client communications in line with FCA and SEC requirements.
• Coordinate responses to investor compliance due diligence questionnaires.
• Manage investor opt-up processes and support investor operational due diligence meetings.
• Oversee and provide advice on marketing requirements across jurisdictions using the latest legal advice or Navigator.
• Oversee and support any fundraising efforts, especially on the AML/KYC side.

Regulators and Regulatory Reporting

• Oversee FATCA/CRS reporting and administration across various jurisdictions, including Luxembourg, UK and Guernsey.
• Manage SEC-related filings and processes, including Form ADV and Form D.
• Coordinate FCA reporting, including any Reg Data compliance items, monthly Close Links reporting, Annex IV, ICARA returns, and FCA Connect submissions.
• Coordinate and ensure completion by stated deadlines of any ad-hoc regulatory requests, surveys and questionnaires.
• Support DFSA and DIFC regulatory matters, Luxembourg/CSSF requirements, US/SEC requirements and any relevant APAC requirements.
• Advise on FCA new AIF notifications and other ad hoc regulatory filings.
• Oversee data protection and ICO-related compliance matters.
• Manage Canadian provincial regulatory filings.
• Monitor and advise on regulatory change across all relevant jurisdictions.

KPIs, Data Provision and Procurement

• Coordinate quarterly KPI submissions, including to the Host AIFM, Depositary and RC in Luxembourg.
• Support service provider and outsourcing procurement from a compliance perspective.

Team

• Encourage the use of AI/technology within the team to create efficiency and streamline processes.

Key Regulatory Competencies

• Strong working knowledge of FCA rules, including SYSC, COBS, MIFIDPRU, and Reg Data/FCA Connect reporting requirements.
• Beneficial: knowledge of SEC regulatory requirements applicable to registered investment advisers, including Form ADV and Form D filings.
• Beneficial: working knowledge of FATCA/CRS reporting obligations and administration.
• Sound understanding of UK and international AML/KYC frameworks, including investor onboarding, transactional AML, and ongoing due diligence.
• Familiarity with SMCR and the Material Risk Takers regime.
• Understanding of market abuse regulation and MNPI/information barrier controls.
• Exposure to DFSA/DIFC and Luxembourg/CSSF regulatory regimes is advantageous.
• Awareness of UK data protection law and ICO requirements.
• Experience with private funds/alternative asset manager compliance, ideally within private equity, credit, or NAV/preferred equity structures.

Key Stakeholders and Third-Party Relationships

• Team, CCO/MLRO and Partner/General Counsel
• Wider team including Senior Management
• Compliance Committee
• Regulators
• Compliance Consultants
• Administrators
• Tax consultants for FATCA/CRS matters
• Lawyers – regulatory
• Deal counterparties
• Agents
• Investors – directly or indirectly for transfers, investor queries, DDQs, onboarding
• Auditors
• Compliance software providers
• Compliance training providers
• Data rooms

Skills and Experience

• Substantial experience in a compliance leadership role within an FCA-regulated asset manager, ideally within private capital/alternatives.
• Demonstrated experience managing, developing and reviewing the work of junior compliance staff.
• Relevant professional qualification (e.g. ICA, CISI) preferred.
• Strong stakeholder management skills, able to liaise confidently with regulators, auditors, and institutional investors.
• High attention to detail with the ability to manage multiple regulatory deadlines across jurisdictions.
• Pragmatic, solutions-oriented approach, comfortable operating in a lean, high-growth team.
• Excellent written and verbal communication skills

We offer you:

• Career development
• Opportunity to learn and grow whilst making a meaningful contribution to the continued expansion of 17Capital during an exciting time of the firm’s overall growth
• Competitive reward and benefit