Compliance Officer/Controlled Function

  • Competitive
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Huntswood Plc
  • 14 Mar 18 2018-03-14

Our client, a reputable investment manager is looking to appoint a Compliance Officer to drive a best practice compliance function that is pro-active. You will possess to ability to exert a challenging influence to protect the firm’s regulatory status.

Key expectations would be to:

  • Have strong compliance knowledge and understanding, enabling them to understand and interpret market developments, topical issues and best practice with a view to incorporating them into the firm’s business processes and culture.
  • Have the ability to draft/amend the new/existing policies and procedures to reflect new and changing requirements.
  • Support and encourage the training of staff at all levels.
  • Be commercially aware to gain a good understanding of the commercial drivers of the business to be able to work closely with other business units
  • Be the source of advice and guidance to the business on relevant compliance issues/requirements as and when they arise.
  • Prepare reports for committees/management/Board, giving independent and objective assurance on adherence to regulatory standards and on the effectiveness of controls in place.
  • Take responsibility for conducting the companies Compliance Monitoring Program and prepare quarterly compliance board reports.
  • Take a leadership role in ensuring that the Risk Management Framework is proportionate and effective
  • Assist in the preparation of the ICAAP and Pillar 3 disclosures.
  • Have a good understanding of financial crime/AML issues with a view to ensuring compliance in this area and leading the preparation of the MLRO’s annual report.
  • Be involved in discussions to modify changes in business practices and products to ensure that the compliance aspects (including risks and controls) are adequate.


Required experience and knowledge:

  • Be willing and able to take on the responsibilities of the CF10 role.
  • Experience working as a compliance officer, ideally in a retail/intermediary/investment management environment.
  • Good written English skills for both reviewing client facing materials and drafting board notes/policies and internal documents.
  • Have a good knowledge of topical and relevant regulatory regimes such as, but not limited to, CASS, GDPR, and SMCR.

If you are interested in this Compliance Officer position and have the relevant skills and experience, then please apply now.