Head of Compliance

4 weeks ago

London, United Kingdom in Newbury Full time

Report directly to the CCO Oversee all aspects of regulatory compliance Maintain regulatory relationships Ensure companies activities are in line with laws, regulations and internal policies Review and reduce compliance manuals Should understand and advise on all relevant regulations Managing the compliance monitoring programme Complete regulatory filings Conduct compliance training and manage the compliance training programme Review all financial promotions Review and update compliance policies and procedures identifying areas of improvement and implementing appropriate controls Monitor and assess regulatory developments Provide regulatory advice Document and escalate compliance breaches to the CCO Present compliance issues and regulatory developments to the CCO Bloomberg surveillance Manage the outsourced compliance Scope to build (and manage) team out and take over SMF functions in future Assist the business where appropriate with ad hoc legal matters such as NDA andThird partyagreement reviews and coordinate with legal counsel
It is anticipated that the candidate will be in the office which is collegiate and friendly
My client is looking for someone who has at least six years buy-side regulatory compliance experience – this can either be in-house or from a buy-side compliance consultancy

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