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Chief Compliance Officer
2 months ago
About the Role: Our client is seeking a Chief Compliance Officer, responsible for driving an effective compliance program. This position holds SMF16 and SMF17.
Key Responsibilities:
- Oversee compliance with applicable laws and regulations for management and business units.
- Assume FCA SMF16 and SMF17 roles and associated responsibilities.
- Manage the Compliance function and team.
- Supervise day-to-day corporate governance, compliance, and AML matters.
- Update governance policies and ensure legal compliance, staying current with relevant legislation.
- Ensure firm-wide compliance with laws, including AML/CFT and FCA’s SM&CR.
- Develop and implement compliance and AML policies.
- Conduct regular compliance and AML reviews.
- Investigate and report compliance breaches.
- Advise senior management on compliance issues.
- Liaise with the FCA and other regulatory bodies.
- Train staff on AML compliance.
- Promote a compliance-focused culture.
About You: Skills, Qualifications, and Experience:
- Proven experience as an effective compliance manager in a regulated environment.
- Experience in rapidly growing firms.
- Minimum of 10 years in investment management or brokerage, with at least 5 years in a senior compliance role.
- Knowledge of digital assets and crypto is desirable.
- Expert knowledge of FCA requirements and EU directives (AIFMD, MiFID, SFTR, EMIR).
- Familiarity with Money Laundering Regulations, JMLSG guidance, and FCA Handbook, especially FUND, CASS, and SMCR rules.
Professional Attributes:
- Business enabler: finding compliance solutions to business challenges.
- Compliance advocate: demonstrating the value of compliance and encouraging a compliance mindset.
- Continuous improver: enhancing processes in line with a dynamic business.
- Good time management and ability to meet deadlines.
- Ability to work accurately under pressure in a results-oriented environment.
- Excellent communication, analytical, and reasoning skills.
- Confidence in communicating across all staff levels within the Group.
If you meet these criteria and are ready to take on a challenging role in a dynamic environment, we encourage you to apply.