Compliance - Investments

2 weeks ago

London, United Kingdom ISM Investment Holdings Ltd Full time

**About us**

We are a dynamic and innovative start-up company dedicated to creating a leading global investment business with a commitment to excellence and a passion for creativity. We believe in fostering a collaborative and empowering work environment where talented individuals can thrive and make a significant impact. We are a start-up looking for the right key members to get the business going.

**Job Overview**

We are looking for an individual who will report the day to day to the Managing Director on Compliance & regulatory matters.

**Responsibilities**:

- Developing and implementing company policies and procedures across all business areas,
- Designing and monitoring control systems to deal with violations of legal rules and internal policies,
- Regularly assessing the efficiency of risk and control systems and recommending effective improvements,
- Working with the operational teams to implement new features in a compliant manner
- Ensuring financial crime systems and controls are sufficient for the needs of the business
- Oversee periodic monitoring on company procedures and processes and evaluating company procedures and reports to identify hidden risks or common issues,
- Leading employee training sessions on legal and compliance issues,
- Assist the business where appropriate with ad hoc legal matters such as NDA and Third party agreement reviews and coordinate with legal counsel for specific matters where needed.
- Reviewing and assessing regulatory matters
- Review and update policies and procedures regularly.

**Qualifications & experience**

To be considered for this role, you must meet the following requirement:

- A bachelor's degree (Law, Regulation, or Economics) or equivalent.
- Minimum 5 years' relevant experience in financial services compliance preferably in a investments/wealth management
- Experience as a compliance generalist but with a specialism in regulatory compliance
- Experience working with and managing the demands of key stakeholders, as well as advocating for improvement of systems and controls to adhere to regulatory requirements to meet the needs in a growing business.
- Strong experience in a leadership/senior management role within compliance and the ability to manage a team.
- Personality is key and being able to handle difficult conversations in an entrepreneurial environment will be essential.
- Extensive knowledge of UK regulatory compliance, in particular FCA rules and guidance, still applicable European legislation (MiFID, GDPR, MLDs) and general industry standards.
- Awareness of the changing investment management landscape.
- Knowledge and experience of systems required to carry out your role, including Microsoft Office Suite (particularly Excel)

This job description is intended to provide a general overview of the position. Duties and responsibilities may be added, deleted, or modified at any time to meet the needs of the organization.

**Salary**: £50,000.00-£51,000.00 per year

Ability to Commute:

- England (required)

Ability to Relocate:

- England: Relocate before starting work (required)

Work Location: In person

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