Our Investment Management client is seeking to hire an experienced Head of Compliance for their City Centre based office.
As the Head of Compliance, key elements of your role will include:
- Being the main point of contact for compliance queries for the business and provide expert advice and guidance to business units
- Providing detailed reporting to the Head of Compliance EMEA on a regular basis
- Maintaining formal governance and oversight of regulatory risk, identifying potential and actual risks and implementing effective risk treatments in conjunction with the business
- Assisting in the assessment and review of new/emerging legislation/regulation and consultation papers
- Being able to opine on new fund products and new business initiatives
- Developing and implementing the compliance monitoring programme and perform specific reviews as required and as directed by the Head of Compliance. These reviews may include third party service providers
- Conducting risk assessments for gaps in internal policies and procedures
- Identification of Compliance breaches and ensuring prompt rectification
- Maintaining register for breaches, errors and complaints for regulated entities as directed
- Producing regulatory returns as required
As the successful candidate you will likely have:
- Experience in a Compliance function in an Investment Management firm
- Excellent knowledge of the governing legislation for fund management
On offer is the opportunity to join this established business whilst being well rewarded.