UK Head of Compliance

  • Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Hogarth Davies Lloyd
  • 16 Sep 16

Our client, a Global Asset Management business, is looking for an experienced compliance professional to become UK Head of Compliance and take an overview of advisory compliance at the firm for the region.

Our client is a Global Asset Management business which has an international presence with offices across North America and mainland Europe, as well as in Australia and Ireland.

An experienced compliance professional is now sought to become UK Head of Compliance and take an overview of advisory compliance at the firm for the region.  This individual will be expected to, inter alia:

  • Have overall responsibility for the growing UK compliance team;
  • Manage all aspects of business risk inherent in the specific compliance function;
  • Ensure that companies within the firm comply with the requirements set out in the applicable regulations, Group and the firm’s Compliance Policy, the Group Anti-Money Laundering Policy and the Senior Management Approved Persons policy;
  • Ensure that the firm provides an effective compliance service to clients;
  • Ensure adequate regulatory control is maintained over third party suppliers’;
  • Provide compliance advice regarding the firm’s activities at large;

This individual must be adept at working with senior management and have some people management experience. Ideally you will have had some interaction with the FCA and the Regulators and have an asset management background (either in compliance, legal or both).   

The successful candidate must be able to demonstrate a deep understanding of clients, markets and industry whilst demonstrating the ability to lead, inspire and develop the team.  A proactive and determined approach with strong communication skills is key.