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Head of Compliance

4 months ago

London, United Kingdom MERJE Ltd Full time

MERJE are working with a well established Investment manager in their search for a Head of Compliance.

The Head of Compliance will be responsible for compliance with all applicable FCA & SEC regulations.

  • Provision of technical advice, support & regulatory guidance
  • Development & completion of the annual compliance monitoring programme
  • Ensuring that the company identifies any changes in law and regulation by horizon scanning
  • Review and implementation of compliance policies & procedures
  • Projects including implementing new regulation, advising on new investments or researching specific legal or regulatory queries from the wider business
  • Compilation and submission of regulatory reporting through Regdata, Connect, FINRA etc
  • Ownership of the AML program

Experience needed:

  • 8-10 years of relevant and broad compliance experience gained in a fund or investment management environment
  • Strong interpersonal and relationship building skills including the ability to interact with and influence at all levels of an organization
  • Excellent written and oral communication skills
  • Previously operated as SMF16 (preferred)