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Legal & Compliance Associate

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GP Bullhound

2mo ago

  • Job
    Full-time
    Mid & Senior Level
  • Legal
  • London
  • Quick Apply

AI generated summary

  • You should have a relevant bachelor's degree, experience in fintech compliance, knowledge of UK/EU regulations, strong analytical skills, and exceptional communication abilities.
  • You will develop compliance policies, conduct audits, manage requests, oversee training, monitor regulations, draft contracts, and support legal issues and disputes.

Requirements

  • Bachelor's degree in a related field. A Master's degree or professional certification in compliance (e.g., JD, LLM, CCEP) is desirable.
  • Proven working experience in compliance and legal roles within a fintech or the financial services industry, with a strong understanding of investment banking regulations.
  • Proven track record of successfully managing compliance programs and legal matters in a complex and dynamic environment.
  • Excellent knowledge of corporate law, UK and EU regulatory frameworks, including FCA regulations and GDPR.
  • Strong analytical and problem-solving skills, with the ability to assess complex legal and compliance issues and develop effective solutions.
  • Exceptional communication and interpersonal skills, with the ability to build relationships and influence stakeholders at all levels of the organization.
  • High level of integrity and ethical standards, with a commitment to maintaining confidentiality and protecting sensitive information.

Responsibilities

  • Develop and maintain compliance policies and procedures to ensure adherence to regulatory requirements
  • Working with the COO to select and implement software or services to support an efficient technology-led approach to managing compliance across GP Bullhound Advisory division
  • Monitor and assess the impact of regulatory changes on the organization and implement necessary adjustments to policies and procedures
  • Conduct regular compliance audits and risk assessments to identify potential areas of non-compliance and develop corrective action plans
  • Lead and manage the compliance program, providing guidance, training, and support to ensure high performance and professional development
  • Provide staff compliance training at orientation, as part of the SMCR process and other ad hoc training
  • Collaborate with Asset Management division opposite number to promote a culture of compliance and ethical behaviour throughout the organization
  • Manage day-to-day staff compliance requests and questions such as in relation to personal account dealing, gifts and entertainment, and outside business interests
  • Oversee preparation of management information for senior management
  • Monitor compliance with relevant bribery and money laundering laws and regulations
  • Draft, and support contract reviews to ensure compliance with legal and regulatory requirements
  • Working alongside the legal team in advising management on a wide range of legal and compliance issues, including corporate governance, contract negotiation, intellectual property, and data protection
  • Support the legal team's management of legal disputes, including litigation and arbitration
  • Potential to broaden experience to support critical commercial contract negotiations and legal disputes and alongside the COO and legal team

FAQs

What is the location of the Legal & Compliance Associate position?

The position is located in London.

Is this position permanent?

Yes, this is a permanent position.

What are the primary responsibilities of the Legal & Compliance Associate?

The primary responsibilities include developing and maintaining compliance policies, monitoring regulatory changes, conducting compliance audits, providing compliance training, and supporting the legal team in various legal and compliance issues.

What qualifications are required for this position?

A Bachelor's degree in a related field is required, and a Master's degree or professional certification in compliance is desirable.

What experience is preferred for candidates applying for this role?

Proven experience in compliance and legal roles within fintech or the financial services industry, particularly with investment banking regulations, is preferred.

Are there opportunities for career progression in this role?

Yes, this position offers opportunities to broaden international and sector experience and progress within the organization.

Will the Legal & Compliance Associate be involved in contract negotiations?

Yes, there is potential for involvement in critical commercial contract negotiations and legal disputes alongside the COO and legal team.

What skills are essential for success in this role?

Strong analytical skills, excellent communication and interpersonal abilities, and a high level of integrity are essential.

Is knowledge of UK and EU regulatory frameworks important for this role?

Yes, excellent knowledge of corporate law, UK and EU regulatory frameworks, including FCA regulations and GDPR, is important.

How does the firm promote a culture of compliance?

The firm promotes a culture of compliance by collaborating with the Asset Management division and providing guidance, training, and support to ensure high performance and professional development among staff.

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GP Bullhound

Our mission: To support the world's technology entrepreneurs

Finance
Industry
51-200
Employees
1999
Founded Year

Mission & Purpose

GP Bullhound is a leading technology advisory and investment firm, providing transaction advice and capital to the world’s best entrepreneurs and founders. Founded in 1999 in London and Menlo Park, the firm today has 12 offices spanning Europe, the US and Asia.