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UK Head of Compliance

3 months ago

London, United Kingdom ETRA Talent Full time

Our client, a privately owned investment management firm and the principal investment advisor to a private fund manager are exclusively looking to hire a UK Head of Compliance to their prestigious London based office.


This role requires the individual to register with the FCA as the firm’s Compliance Oversight (SMF16) and Money Laundering Reporting Officer (SMF17) functions, and reports to the Deputy Chief Compliance Officer.


Key Responsibilities:

  • Oversee investment and trading activities, and provide authority for trading approvals.
  • Run the UK compliance surveillance program covering surveillance of trading, electronic communications, recorded lines, and expert networks, and participate in periodic compliance surveillance meetings with the global team.
  • Manage compliance processes including pre and post-trade compliance oversight, market soundings, restricted securities, conflicts, personal trading, inducements, and research.
  • Work with Portfolio Managers and Traders to understand the scope of securities they are trading/monitoring to pre-empt restrictions that may predicate trading.
  • Oversee and manage European transparency disclosures, including transaction and post-trade reporting; best execution; long and short position and takeover panel notifications.
  • Manage the UK compliance framework, including compliance manuals, monitoring program, risk assessments, internal policies and procedures, and regulatory registers and records.
  • Provide periodic reporting to senior management in accordance with FCA Senior Management Arrangements, Systems and Controls (SYSC) rules.
  • Monitor the evolving European regulatory environment to pre-empt changes in regulation and their application to the firm, and manage compliance with the applicable regulations and standards set out by the FCA.
  • Train all employees on compliance policies including financial crime policies.
  • Prepare and file regulatory reports with the FCA and other EU regulators as needed.


Requirements:

  • Bachelor’s degree or higher.
  • 5-10 years of experience in a compliance-focused role at a financial services firm/investment manager (previous experience as a CF10/CF11 or SMF16/SMF17 desirable).
  • Extensive knowledge of regulatory policies and procedures, including MiFID/MiFIR, MAR, EMIR, and the FCA Handbook.
  • Knowledge of a broad range of financial products.
  • Strong written and oral communication skills.
  • Organized and self-motivated with strong attention to detail.
  • Ability to multi-task in a high-pressure environment.
  • Experience working directly with investment professionals.