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Compliance Director

3 weeks ago

London, United Kingdom Synchronicity Group Full time

A well established sustainable, environmental, social and governance investment manager is seeking to appoint a Compliance Director to their UK office.

This role will report into the General Counsel who also holds the SMF16/17 for the UK and will also work closely with the US CCO on SEC regulation. There is administrative support and also 2 additional lawyers in the overall Compliance and Legal team.

Key responsibilities include:

- Maintaining the Compliance Manual, Policies and Procedures
- Maintaining and executing the monitoring programme
- FCA filings and assistance with SEC filings
- Compliance training programme design and oversight
- SMCR process and reviews in collaboration with the HR team
- Approval of financial promotions
- Working with the US to ensure comprehensive technology based surveillance programme
- Extensive compliance experience at Manager/Deputy level within the Asset Management industry
- Demonstrable experience of interacting with both the FCA and the SEC
- A genuine commitment to sustainability and an ability to discuss and understand SFDR

This role will be London based with a requirement to work from the office Tuesday to Thursday. A highly competitive salary is on offer as well as an excellent benefits package and bonus potential.