Head of Compliance SMF16 and 17
4 weeks ago
Location: London (Hybrid Working Arrangements)
Excellent Salary and Benefits on offer (dependent upon experience)
Are you a seasoned Compliance professional with a robust background in Asset Management? Do you excel in roles where you can drive meaningful change and ensure regulatory excellence? We are looking for a proactive and influential Head of Compliance to lead our dynamic team in London.
This is a rare opportunity to lead compliance initiatives within a prestigious mid-sized, fast growing and well backed Asset Management firm.
The Role: As Head of Compliance, you will hold a critical position in ensuring regulatory adherence and implementing best practices within our Asset Management operations. Your responsibilities will encompass:
- Developing, implementing, and refining compliance policies and procedures tailored to Asset Management.
- Conducting comprehensive compliance risk assessments and overseeing regulatory reporting.
- Providing expert guidance to senior management on compliance matters related to investment strategies and fund operations.
- Collaborating closely with portfolio managers and investment teams to embed compliance controls into investment processes.
- Leading regulatory audits and inspections, ensuring proactive and effective responses.
- Staying abreast of evolving regulatory landscapes impacting Asset Management and spearheading necessary adjustments.
- Serving as a pivotal liaison with regulatory authorities and external compliance consultants.
Requirements:
- Extensive experience (10+ years) in senior compliance roles with a specific focus on Asset Management, ideally across diverse investment strategies.
- Proven track record of successfully implementing and managing compliance frameworks and controls.
- In-depth knowledge of FCA regulations and guidelines relevant to Asset Management firms.
- Exceptional leadership and communication skills, with the ability to influence stakeholders at all organizational levels.
- Meticulous attention to detail coupled with a hands-on approach to compliance management.
- Previous experience within mid-sized, rapidly growing Asset Management firms highly preferred.
- Must have held Senior Management Function (SMF) 16 (Compliance Oversight) and/or SMF 17 (Money Laundering Reporting Officer) roles.
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