Chief Compliance Officer - 12 month fixed term contract (M/F) - Mirova UK
Description de l'entreprise A key player in sustainable finance, Mirova is an asset manager that provides its clients with investment solutions that aim to reconcile financial performance with positive environmental and social impact. Our multi-disciplinary teams, united around a common vision, our diverse areas of expertise and our ability to innovate and establish partnerships with key experts mean we are positioned to steer capital towards the investment needs of a real, sustainable, and value-creation economy.
Poste et missions Your duties and responsibilities are:
Primary Duties - FCA Compliance • Managing the Firm's FCA regulatory compliance requirements (holding the title of SMF16,17) including AIFMD obligations
• FCA regulatory filing (GABRIEL and CONNECT) and coordinating (with third party advisers) to ensure the Firm adheres to all applicable FCA regulatory requirements
• Managing non FCA regulatory requirements with external advisers
• Preparing and maintaining the FCA compliance monitoring programme on a quarterly basis
• Conducting duties as SMF16,17 to ensure that the firm's KYC-AML procedures are appropriate for its license
• Compiling Compliance reports / compliance agenda topics for the board of directors and maintaining the compliance registers (e.g complaints, conflict of interest, breaches, gifts and inducements). Ensuring board sign off of all policies annually /when a material change occurs
• Managing all AML-KYC for project investments (in collaboration with third party custodian and parent company) which are based in various EU and non-EU locations (e.g. LatAm, Asia etc), working closely with fund directors/front office teams as necessary
• Acting as second line of defence for the firm
• Reviewing and monitoring relevant new and updated laws and regulations (e.g. FATCA, MiFiD, AIFMD) assessing impact on the business with external consultant's/advisers assistance
• Reviewing, approving and maintaining records of the Firm's financial promotions to ensure their compliance with the Conduct of Business Sourcebooks
• Ensure the Firm's compliance manual, policies and procedures are uptodate and reflect current best practice
• Organising training on compliance for all employees to ensure that they are aware of and understand their responsibilities in relation to FCA compliance
• Maintaining close working relationship with Mirova compliance and legal department and with external advisors (RQC, Alter Domus UK for financial reporting and Alter Domus Manco Lux) on compliance matters
• Attend Investment Committee's for some funds/mandates as appropriate
• Review new marketing documents to ensure content is FCA appropriate, disclaimers are correct etc
• Admin tasks such as background checks for front office employees, new hire compliance manual document process (soon to be 100% with France HR team), renew LEI for funds, SMCR documentation etc, review SLA/Contracts for new business etc
Secondary duties - Group Reporting (volume varies throughout the year) • Natixis reporting throughout the year e.g monthly reporting, six monthly compliance and risk committee, ad-hoc new product new activity committees, Volcker reporting, FATCA & CRS (with group US guidance)
• Ad-hoc global regulatory reporting requirements e/g Major holdings queries, BPCE KYC queries, EONIA requests, risk questionnaires, internal audit projects, these are just some examples of the topics covered
• Mirova interaction on AML-KYC, compliance topics and group policies/procedures
Profil et compétences requises Knowledge of asset management industry, 10 year experience in a compliance function within financial services preferable
Good knowledge of the UK regulatory framework, especially the FCA Handbook and related requirements
Demonstrable experience collaborating in a team environment and managing varied stakeholders, whilst effectively managing and prioritising varied workstreams in a fast-paced environment
An analytical mind, the ability to solve complex problems and streamline processes
Excellent communication and organisational skills
Languages: English (fluent) and French
