Head of Compliance

2 weeks ago

London, United Kingdom eFinancialCareers Full time

We are recruiting for an established Institutional Investment Management business looking to hire a Head of Compliance (SMF 16 & 17) to oversee and manage Compliance and AML risks for the business.

**Main Responsibilities**
- Development and implementation of annual compliance plans, compliance monitoring, and the Compliance Manual.
- Approval of marketing materials/financial promotions, and ensuring the approval process remains efficient and effective, making sure it complies with all rules and regulations.
- Identification of regulatory changes relevant to the UK and coordination of response and implementation within the business.
- Ongoing monitoring of developing best practices in Compliance and AML, e.g. through participation in industry forums and working groups.
- Acting as contact with the FCA and external compliance advisors; regulatory reporting to the FCA and maintenance of registers.
- Preparation of SMCR updates and assessments, including fit & proper assessments and filing FCA register updates.
- Regular performance of AML/CTF risk assessments and reporting based on the UK business activities and business environment.

**Job Requirements**:

- At least 8 years of Compliance experience within an Institutional Investment Management business
- Previous experience holding SMF 16 & 17, preferable.
- Excellent interpersonal skills.
- Good communicator, comfortable dealing with all levels of staff

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