Head of Compliance SMF16 and 17

3 weeks ago

City Of London, United Kingdom Hydrogen Group Full time

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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