Private Equity Compliance And Regulatory Management-Supervisor

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PE CENTER OF EXCELLENCE | UK&I

Supervising Associate

Private Equity Compliance & Regulatory Management Support

Discipline

Clients & Industries

Role Type

PE CoE - Private Equity Compliance & Regulatory Management Support

Business unit specific description - PE CoE (UK&I)

The Private Equity Center of Excellence supports the firm in managing independence, compliance and regulatory requirements associated with major UK-headquartered private equity groups and their portfolio entities. The team helps protect the firm by proactively monitoring proposed engagements and business relationships across service lines and supporting compliance with applicable SEC, EU, UK and EY independence requirements.

The Supervising Associate combines hands-on delivery with day-to-day team oversight across assigned PE accounts. The role coordinates regulatory procedures, account structures, research, reporting and stakeholder actions while maintaining high standards of accuracy, timeliness, documentation and professional judgement. The individual works closely with Market Segment Managers, account teams, Partners, senior management and internal risk stakeholders, and provides clear updates, practical guidance and timely escalation of issues.

Your key responsibilities

• Lead day-to-day delivery across assigned PE accounts and related workstreams, taking ownership of priorities, timelines, dependencies and outcomes.
• Support quarterly Independence Summary Memo procedures, including the initial review of submissions and supporting documentation to confirm required procedures are completed.
• Establish and maintain account-level structures, trackers and documentation that enable account teams to meet regulatory and independence requirements.
• Reconcile relevant systems and account information to confirm PE group and portfolio structures are accurately reflected.
• Monitor press releases, industry announcements and research sources for acquisitions, disposals and other changes affecting focus accounts.
• Support public and private company independence procedures for acquisitions and respond to general independence queries relating to PE accounts.
• Plan and allocate work across team members, monitor progress and capacity, and ensure agreed deliverables are completed on time.
• Perform detailed quality reviews, challenge incomplete or inconsistent outputs and ensure review points are resolved before submission.
• Act as a key contact for routine stakeholder matters, communicate status clearly, manage expectations and escalate complex issues or risks promptly.
• Facilitate team and stakeholder discussions, convert decisions into clear actions, assign ownership and drive follow-through to closure.
• Collate leadership action points and support program and project coordination, management information and workload visibility.
• Identify recurring issues, control gaps and improvement opportunities, and lead practical enhancements to processes, trackers, reporting, automation and knowledge materials.
• Provide first-level guidance, coaching and constructive feedback to team members, promoting consistent ways of working, knowledge sharing and professional standards.

Skills and attributes for success

• Hands-on experience with business, company, and market research platforms such as Bloomberg, LexisNexis, Factiva, Merger Market, Dun & Bradstreet (D&B), or similar tools.
• Strong communication and presentation skills, with the ability to analyse synthesize, and clearly present research findings and insights to stakeholders.
• Prior exposure to account, client, or master data management systems, along with experience using account or relationship management platforms.
• Experience supporting compliance processes, including compliance work papers, due diligence activities, checklists, governance reviews, and policy adherence.
• Familiarity with regulatory frameworks, SEC guidelines, compliance policies, risk management, or governance-related activities.
  Exposure to AML, financial crime or stock market-related domains would be considered as an added advantage.
• Experience with SharePoint content management, newsletters, surveys or knowledge repositories.
• Experience using automation, artificial intelligence or emerging technologies to improve process efficiency, data quality and business insight.
• Strong project coordination and stakeholder management skills, with the ability to manage multiple priorities and understand the objectives of different programs and initiatives.
• Excellent analytical and reporting skills, including the ability to review, validate and interpret data; develop reports or dashboards; identify trends; and provide practical insights.
• Strong presentation and facilitation capability, including leading discussions, preparing clear presentations and communicating insights to business stakeholders.
• Ability to work with minimal supervision, prioritize effectively, manage competing demands and adapt to changing business expectations.
• Excellent written and verbal communication skills, with confidence working with business leaders and senior stakeholders.
• Advanced Microsoft Excel, PowerBI and PowerPoint skills, including pivot tables, lookups, filtering, conditional formatting, validation, charts, and professional slide formatting.
• High degree of professionalism, integrity and sound judgement.

To qualify for the role, you must have

• A graduate or postgraduate qualification in Business Administration, Finance, Information and Data Science, or a related discipline.
• Approximately 8 to 12 years of relevant experience in financial services, professional services, business process management, consulting, research and/or corporate strategy.
• Demonstrated experience coordinating projects, reviewing deliverables and working effectively with multiple stakeholders.
• Proven ability to analyse information, produce high-quality reports or presentations and communicate clear business insights.
• Experience supporting business leaders or leadership groups in a deadline-driven environment.

What we look for

• A delivery-focused professional who can balance hands-on execution with team oversight, prioritization, review and stakeholder communication.
• A solution-oriented and adaptable thinker who can navigate ambiguity, identify risks or opportunities and make well-reasoned day-to-day decisions.
• A collaborative team contributor who builds capability through coaching, knowledge sharing, constructive feedback and consistent quality expectations.
• A self-motivated learner with strong interpersonal and cultural awareness, able to build trusted relationships across diverse teams.
• Someone who maintains a broad view of account priorities, operational risks and dependencies while ensuring detailed execution remains accurate and timely.

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