Head of compliance

  • GBP70000 - GBP100000 per annum + excellent benefits
  • London, England, United Kingdom
  • Permanent, Full time
  • RSG
  • 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.