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Chief Compliance Officer

2 months ago

London, UK, United Kingdom Selby Jennings Full time

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.