Head of Compliance

4 weeks ago

Greater London, United Kingdom Martis Search Full time
Job Description

The Role


Head of Compliance – Hedge Fund Compliance Consultancy


Martis Search are representing an established, boutique London based Compliance Consultancy company that specialises in Compliance & Legal Consultancy services, specifically for the Hedge Fund, Asset Management and Private Equity industries.

This is an excellent “Head of Compliance” role for someone who is looking for something different in their Compliance career.


The role reports into their Managing Director who atm is also acting as the business’s "Head of Compliance". Our client needs someone who can manage and in time take the full Compliance function away from them, so that they can concentrate of business development and winning new clients.


Our client provides Compliance & Legal Consultancy Services for an array of different, mainly London based Hedge Funds (predominately), but also Asset Managers and Private Equity companies; from small start-up funds, right up-to larger global companies with multi-billion $ assets-under-management ($).


The Compliance tasks that they perform for them dependent upon the size of the fund, the life-cycle of the fund i.e. some might be early stage start-up’s with no Compliance departments etc, some might be more established Funds with large $ AUM’s, but need Compliance Advisory for their processes, or ongoing Regulatory Reporting requirements.


You will be trained “on-the-job” by the MD and other senior Consultants and expected to manage a small team of junior Compliance Analysts. The teams will need your guidance and for the first 6-months you will be learning and doing the job, with the view as to once you fully understand the intricacies of the Compliance work, to then manage the workloads, manage the teams’ output, but also be the main-point-of-contact and “Relationship Manager” to their clients; owning the client relationships without the MD.


The client points-of-contacts range from CEO’S, CCO’s, COO’s. Some of the co’s consultants are ex-COO’s and COO’s, so there is plenty of experience around to help you.


You will work onsite in their clients offices and also allowed to "work-from-home". Some clients have different needs and expect you to be at their offices “more-often-than-not” and others are more relaxed.


Having the energy to meet senior Hedge Fund/ Asset Management clients face-to-face is a must, as well as having to deal a broad variety of Compliance tasks across lots of different Investment strategies and asset-class types i.e. Global Credit, Fixed Income, Equity Long/ Short, Private Equity etc.


Our client needs either a “senior Compliance Manager” level experience either gained from a Hedge Fund, Asset Manager, or Private Equity house. Or from a “Buyside” Compliance Consultancy.


Our client will also look at an ex-Hedge Fund, Asset Management COO, someone who still have deep Compliance and Regulatory knowledge and who wants to try Compliance as a career and try working in Consultancy.


The works-loads are high, clients are ultra demanding, so you have to deliver quality work day-in, day-out, week-in, week out etc. Their client relationships are long-term and project lengths can range for 2-months, to long-terms projects that can last for months/ ongoing projects.

You will be expected to have in-depth Hedge Fund/ Asset Management Compliance experience.


The company offer a hybrid mix of “working-from-home” and also in-the-office, so you get the best of both worlds. In addition, you will need to be confident and articulate, plus have the energy to both regularly visit and work onsite at their clients’ offices in Mayfair and in The City of London.


Each client will be demanding, so you need to be able to pick up complex Compliance processes quickly, hit deadlines and provide a high quality of work and service, that the client gives repeat business.

This is such an amazing opportunity to learn so much about Compliance within these sectors. Due to the size of the company, the exposure and learning curve is steep, but rewarding.


Strong understanding of different Compliance Regulations such as:


  • FCA handbook – you must have a strong understanding and interpretation of and understand where to navigate through it.
  • SMCR.
  • AIFMD.
  • MiFID2.
  • PRA/ PRU.


The role involves a broad range “Generalist Compliance” duties such writing of Compliance policies and procedures, Transaction Monitoring programs, client’s Marketing Materials, websites, Mis-selling, PA Dealing, Gifts etc – so not day is the same.


**Please note our client will not sponsor, and we ask all applicants to have full UK Right to Work and no time limited visas – Youth Mobility, Tier 4, Spouse Visas (all that are soon to expire and require company sponsorship to work in the UK).

We ask all applicants to respect this requirement given our client’s request and inability to sponsor.**


Salary


£90 k pa - £120 k pa dependent upon experience, plus Equity in the business, and potential bonus, healthcare etc.

  • Head of Risk

    3 days ago

    Greater London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a boutique financial services firm based in St Albans, seeking a Head of Risk and Compliance on a permanent basis. This is a great opportunity for someone to work locally in a close-knit team. THE RESPONSIBILITIES: Ensure that the companies have the correct level of FCA regulatory oversight and that the procedures and monitoring...

  • Head of Compliance

    6 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is an asset and wealth management specialist. They are looking for a Head of Compliance & MLRO to join the London-based team. This is a great opportunity for someone to step up in to ‘Head of’ role. **THE RESPONSIBILITIES**: - Continued development and implementation of a comprehensive compliance program, ensuring the...

  • Head of Compliance

    6 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a leading provider of execution and clearing services for exchange traded derivatives and OTC derivatives in the commodities markets. **THE RESPONSIBILITIES**: - Monitor and ensure on-going compliance with all legal and regulatory requirements - Proactive researching of the regulatory environment, keeping the business...

  • Head of Compliance

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a leading Forex and CFD brokerage firm, seeking a Head of Compliance THE RESPONSIBILITIES:Stay updated on all pertinent FCA regulations Serve as the primary point of contact for regulatory inquiries and examinationsOversee and maintain the firm's policies and procedures to ensure they remain effective and up to date.Develop and...

  • Head of Compliance

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Job Description THE COMPANY: Our client is a leading Forex and CFD brokerage firm, seeking a Head of Compliance THE RESPONSIBILITIES: Stay updated on all pertinent FCA regulations Serve as the primary point of contact for regulatory inquiries and examinations Oversee and maintain the firm's policies and procedures to ensure they remain...

  • Head of Compliance

    2 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a leading Forex and CFD brokerage firm, seeking a Head of Compliance THE RESPONSIBILITIES:Stay updated on all pertinent FCA regulations Serve as the primary point of contact for regulatory inquiries and examinationsOversee and maintain the firm's policies and procedures to ensure they remain effective and up to date.Develop and...

  • Head of Compliance

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a leading Forex and CFD brokerage firm, seeking a Head of Compliance THE RESPONSIBILITIES:Stay updated on all pertinent FCA regulations Serve as the primary point of contact for regulatory inquiries and examinationsOversee and maintain the firm's policies and procedures to ensure they remain effective and up to date.Develop and...

  • Deputy Head of Compliance

    7 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is an international financial services company focusing on wholesale and corporate banking activities. **THE RESPONSIBILITIES**: - To work closely with key stakeholders and ensure appropriate regulatory advice is provided in line with regulatory requirements. - Oversee and manage the regulatory advisory team within the...

  • Head of Compliance

    2 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a leading Forex and CFD brokerage firm, seeking a Head of Compliance THE RESPONSIBILITIES:Stay updated on all pertinent FCA regulations Serve as the primary point of contact for regulatory inquiries and examinationsOversee and maintain the firm's policies and procedures to ensure they remain effective and up to date.Develop and...

  • Head of Compliance

    6 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is an asset and wealth management specialist. They are looking for a Head of Compliance & MLRO to join the London-based team on a part-time basis. **THE RESPONSIBILITIES**: - Continued development and implementation of a comprehensive compliance program, ensuring the business remains compliant with all relevant laws,...

  • Global Head of Compliance

    2 days ago

    London, United Kingdom Compliance Professionals Full time

    Job DescriptionTHE COMPANY: Our client is a world-leading specialist broker based in the City. They are looking for a Global Head of Compliance, with demonstrated broking or prime broking experience.THE RESPONSIBILITIES:Management of global regulatory relationships.Advisory coverage of all business desks globally in conjunction with the local Compliance...

  • Head of Compliance

    6 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a successful futures and options broker based in the City, with years of experience delivering expert and high quality services. **THE RESPONSIBILITIES**: - Ensure that the Firm complies with its regulatory requirements as a UK regulated business; - Conduct periodic internal reviews and investigations, including trade...

  • Global Head of Compliance

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a world-leading specialist broker based in the City. They are looking for a Global Head of Compliance, with demonstrated broking/prime broking experience. THE RESPONSIBILITIES: Management of global regulatory relationships. Advisory coverage of all business desks globally in conjunction with the local Compliance Officers. ...

  • Global Head of Compliance

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a world-leading specialist broker based in the City. They are looking for a Global Head of Compliance, with demonstrated broking/prime broking experience. THE RESPONSIBILITIES: Management of global regulatory relationships. Advisory coverage of all business desks globally in conjunction with the local Compliance Officers. ...

  • Global Head of Compliance

    3 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a world-leading specialist broker based in the City. They are looking for a Global Head of Compliance, with demonstrated broking/prime broking experience.THE RESPONSIBILITIES:Management of global regulatory relationships.Advisory coverage of all business desks globally in conjunction with the local Compliance Officers.Oversight of...

  • Global Head of Compliance

    4 days ago

    london, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a world-leading specialist broker based in the City. They are looking for a Global Head of Compliance, with demonstrated broking/prime broking experience. THE RESPONSIBILITIES: Management of global regulatory relationships. Advisory coverage of all business desks globally in conjunction with the local Compliance Officers....

  • Head of Compliance

    4 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY:An exciting opportunity has arisen with a rapidly growing commodity broker based in the City. The position will oversee a small team and will be instrumental with developing the compliance culture as the business grows. RESPONSIBILITIES:To ensure the business is aware of the regulatory risks it faces and mitigates against themManage stakeholder...

  • Head of Compliance

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Job Description THE COMPANY: An exciting opportunity has arisen with a rapidly growing commodity broker based in the City. The position will oversee a small team and will be instrumental with developing the compliance culture as the business grows. RESPONSIBILITIES: To ensure the business is aware of the regulatory risks it faces and mitigates...

  • Head of Compliance

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:An exciting opportunity has arisen with a rapidly growing commodity broker based in the City. The position will oversee a small team and will be instrumental with developing the compliance culture as the business grows. RESPONSIBILITIES:To ensure the business is aware of the regulatory risks it faces and mitigates against themManage stakeholder...

  • Head of Compliance

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:An exciting opportunity has arisen with a rapidly growing commodity broker based in the City. The position will oversee a small team and will be instrumental with developing the compliance culture as the business grows. RESPONSIBILITIES:To ensure the business is aware of the regulatory risks it faces and mitigates against themManage stakeholder...