Head of Compliance - Investment Management

  • Competitive
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Investigo Compliance
  • 16 May 18 2018-05-16

An investment firm are looking to hire a Head of Compliance who will take on the full responsibilities of CF10 and CF11. The role holder will be working closely with the CEO in undertaking all regulated activities across the business. This is an excellent opportunity for someone to apply their regulatory knowledge in a diverse and fast paced investment environment.

Key Accountabilities 

  • Acting as Compliance Oversight (CF10) and Money Laundering Reporting Officer (CF11);
  • Serving as the firm’s key point of contact with the FCA including all authorisation, liaising with FCA as required e.g. Variation of Permission applications and reporting matters;
  • Monitoring regulatory developments and react to those that may impact the firm;
  • Overseeing the firm’s systems and controls against money laundering and terrorism financing using risk-based approaches;
  • Responsible for providing timely, accurate, and relevant regulatory advice to the business;
  • Responsible for the development of an appropriate, risk based, compliance framework;
  • Maintaining and executing the Compliance Monitoring Programme to include periodic tests of the effectiveness of the firm’s policies;
  • Producing reports on findings and recommendations to present to the Board on a quarterly basis and Audit & Risk Committee as appropriate including any changes;

Role Requirements 

  • Current  or very recent  CF10/CF11 registration is desirable;
  • Knowledge and experience of the AIFMD;
  • The ability to maintain effective professional and working relationships with the Board;
  • Strong planning and organisational skills;
  • Proven people management and coaching skills as well as strong leadership skills with experience in managing a team