Commercial Counsel & Compliance 4+

England, Oxfordshire, Oxford
£85000.0 - £90000.0 per annum + plus benefits
13 Sep 2023
11 Oct 2023
Monique Davis
Job Title
In House Counsel
PQE Level
2-4, 5-7
Contract Type
Full Time

Your new company
We are Oxford Capital, founded in 1999, we offer individuals and families access to some of the most innovative early- stage companies in the UK. Over the last 20 years, we have invested approximately £500 million in over 100 companies. From our base in Oxford, one of the greatest knowledge clusters in the world, we invest across the UK and support early-stage companies to fulfil their growth potential.

We are seeking a qualified solicitor with 4+ years' PQE who is highly skilled and driven individual for our Commerical Counsel & Compliance job opportunity. As an industry leader, we pride ourselves on our commitment to excellence, integrity, and innovative solutions. This is a brand new opportunity to make a significant impact on our firm and the industry as a whole.
In the position of Commerical Counsel & Compliance, you will be at the forefront of our legal and compliance function bringing creativity, self-initiative, drive, tenacity, and strong leadership to the role. Your mission to bring legal "in-house" and instil a culture of compliance within our firm, ensuring we remain fully compliant with relevant FCA rules while fostering a business-enabling approach. This role requires someone who can translate regulation into effective procedures and policies, educate our staff on these policies, and comfortably navigate regulatory landscapes such as the FCA Handbook, AIFMD, MiFID 2 and COBS. Your dedication to continuous self-training and in-depth sector knowledge will be crucial for success. Collaborating with the professional team at Oxford Capital, you will demonstrate personal and professional integrity in all aspects of your work.

Key Responsibilities:

  • Drafting, reviewing and negotiating commercial contracts
  • Leading and assisting the compliance function, including anti-money laundering systems, controls, training, and reporting. Ensure firm-wide compliance with relevant FCA rules, proactively implementing and overseeing compliance efforts.
  • Stay abreast of regulatory changes and respond promptly to ensure ongoing compliance.
  • Serve as the Money-Laundering Reporting Officer, overseeing all anti-money laundering activities within the firm.
  • Implement and maintain robust AML policies, systems, and training for all staff.
  • Contribute to the firm's long-term strategic planning and business plan.
  • Leading and assisting the legal and compliance functions across the firm, supporting revenue and profit growth.
  • Monitor internal processes and registers to ensure compliance with firm policies and procedures.
  • Conduct regulatory and compliance research to keep the firm up-to-date with new regulations.
  • Analyse and manage Conduct Risk across the firm's processes and procedures.
  • Leading and assisting with outsourced and internal Company Secretarial functions. Handle regulatory filings, applications, and other obligations, maintaining a positive relationship with the FCA.
  • Assist with the Risk Management Committee and manage the Risk Monitor.
  • Identify and manage operational and investment management risks.
  • Ensure compliance with conflict of interest policies.

Qualifications and Experience:

  • Essential: UK Qualified Solicitor with a minimum of 4 years' PQE+ experience. Financial Services / Investment / Funds related experience is key.
  • Proven hands-on experience drafting, reviewing, negotiating commercial contracts and dealing with general legal and compliance matters.
  • Higher education degree at 2:1 or above.
  • Ability to translate FCA rules into practical procedures and policies.
  • Strong interpersonal skills and the ability to train other staff members.

  • Desirable:
  • Compliance related qualification, ideally CISI Level 6 Diploma in Investment Compliance.
  • Previous experience in holding SMF 16, 17 positions.
  • Experience in Alternative Investment Fund compliance.

Personal Attributes:

  • Self-starter with strong internal and external communication skills.
  • Thrives in a team environment, collaborating effectively with colleagues.
  • Strong analytical skills with keen attention to detail.
  • Results-oriented with a proactive attitude to taking responsibility.
  • Embraces innovation and open to exploring new ideas.
  • Committed to personal growth and continuous learning.
  • Customer-focused, delivering professionalism and excellence.

We welcome candidates with both qualified legal and compliance backgrounds. We are also prepared to consider candidates who are interested in part-time roles, working four days per week. If you are an individual with strong leadership skills and a passion for compliance, we encourage you to apply.
Oxford Capital is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees.
How to Apply: Ready to take on this exciting challenge? If you have the skills, qualifications, and experience to excel as our Head of Legal & Compliance, we invite you to apply. Please submit your comprehensive CV and a cover letter detailing your interest and suitability for the role. We look forward to hearing from you!

This is a Hays retained opportunity by Monique Davis, Senior Manager, Hays Legal.

Hays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying for this job you accept the T&C's, Privacy Policy and Disclaimers which can be found at hays

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