Legal & Compliance Director

3 weeks ago

London, United Kingdom Bruin Full time
Ref: 36084

Our client, a dynamic Asset Management, are seeking an enthusiastic and experienced individual for the position of Legal and Compliance Director on a 12 month FTC basis. The role will have dual coverage of Legal and Compliance and they are looking ideally for a qualified lawyer and someone to hold the SMF 16 & 17 on the Compliance side.

You will play a pivotal role in ensuring our operations align with FCA authorizations and adhere to legal and regulatory requirements in the UK, EU, and Middle East.

Responsibilities:

  • Hold senior manager functions 16 (compliance oversight function) and 17 (MLRO).
  • Serve as the primary liaison with local regulators, counsel, and lead on legal and regulatory developments in the UK, EU, and Middle East.
  • Oversee compliance with laws, rules, and regulations governing FCA authorization and other authorizations/exemptions - this would include, for example, responsibility for AIFMD, MIFID, BREXIT, UCITS requirements, SFDR, GDPR, and EMIR reporting.
  • Provide actionable legal, compliance, and regulatory advice to internal business partners.
  • Draft and amend policies and procedures to comply with legal and regulatory developments.
  • Manage client and vendor contract reviews and negotiations.
  • Prepare and make regulatory filings required by the office.
  • Advise, train, and supervise staff on compliance requirements.
  • Lead integration and management of compliance and internal control activities.
  •  

Requirements:

  • 10+ years of relevant experience, including senior positions in FCA authorized investment management or asset management (They can also look at Law firm experience)
  • Expertise in UCITS funds and regulatory requirements for managing and distributing such funds.
  • Strong knowledge of laws and regulations applicable to FCA authorized investment managers in the UK, EU, and Middle East.
  • Experience with compliance officer responsibilities, including regulatory filings, policy drafting, employee supervision, KYC/AML reviews, and marketing material approvals.
  • Excellent communication skills, both verbal and written.
  • Proven decision-making ability and ability to work effectively alone or in global teams.
  • Strong negotiation skills for client and vendor agreements.

If you are a proactive, experienced, and knowledgeable professional looking for a challenging opportunity in a global financial organization, this organisation offers a stimulating work environment and competitive benefits package.

Please apply via this advert or email your CVs to alice.dee@bruinfinancial.com

 Bruin recognises the positive value of diversity, and aims to promote equality and challenge unfair discrimination. As a champion of equal opportunity employment we welcome applications from all suitably qualified persons - men and women, people of all ages, sexual orientations, nationalities, religions and beliefs. We particularly encourage applications from women, disabled, and Black, Asian and minority ethnic candidates as these groups are underrepresented throughout the financial services industry. Our clients work with us because they value a diverse workforce, and subscribe to our shared principle that all appointments are made on merit and that ability to perform the job will be the primary consideration.

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