Head of compliance
- GBP70000 - GBP100000 per annum + excellent benefits
- London, England, United Kingdom
- Permanent, Full time
- 19 Sep 16
Head of Compliance We are currently looking to hire a Head of Compliance (CF10) to work for a boutique asset manager in central London. This is a great opportunity for someone who is currnetly in a 'Head Of' role or a Compliance professional looking for a more senior position.
Head of Compliance
We are currently looking to hire a Head of Compliance (CF10) to work for a boutique asset manager in central London. This is a great opportunity for someone who is currnetly in a 'Head Of' role or a Compliance professional looking for a more senior position.
Head of Compliance responsibilities;
- Provide regulatory and technical advice and expertise on all compliance issues relating to Asset Management.
- Identify existing and emerging regulatory and compliance risks and ensure they are appropriately managed.
- Providing compliance advice and day-to-day compliance oversight to the business.
- Work closely with our Central Compliance and Compliance Monitoring functions to co-ordinate and align responsibilities in order to provide an effective compliance service to the Asset Management business.
- Ensure that regulatory requirements are clearly defined and implemented in a manner that is proportionate and cost-effective.
- Maintenance of robust systems and controls; minimising the likelihood of material FCA rule breaches occurring; and that we receive satisfactory outcomes of any reviews initiated by the FCA.
Head of Compliance Skills and experience
- Professional Compliance or Regulatory Qualification.
- Extensive financial services industry experience, preferably within Asset Management
- Extensive experience in a senior level Compliance role (in-house or consultancy).
- Proven record of working in accordance with all regulatory, compliance and conduct risk policies.
- Proven experience of contributing to strategy and operational plans in a regulated environment.
- Direct experience of dealing with the FCA
- Mentoring/coaching staff
- Proven understanding of the regulatory environment, particularly FCA systems & controls and conduct of business regulation (especially suitability).
- Strong appreciation of Compliance and Conduct Risk and how these are embedded within a business.
- Highly Ethical and principled, analytical and diligent.