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Head of Compliance & MLRO – Wealth / Asset Management Experience (with CRS & FATCA Knowledge) Required

£100K - £120K + Bonus & Benefits | West End
Ref: 3442J

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Anti Money Laundering (inc CDD/KYC) / Permanent

We are recruiting for a leading discretionary and advisory asset management firm looking to hire a Compliance Officer to ensure the firm’s adherence to all applicable laws and regulations, providing relevant advice to senior management and staff in regard to all compliance issues.  Reporting to the COO, duties will include:
• Registered as CF10 & CF11 for the FCA and act as the main point of contact
• Keep up to date with all relevant European & US regulations and laws, especially forthcoming changes (including delivery of MiFID II), which are likely to impact the firm and the business it transacts.
• Identify any potential issues related to regulation and, in conjunction with senior management, propose and implement changes to ensure continued adherence to regulations / laws
• Identify compliance risks associated with the firm’s business activities and related internal processes, suggesting and implementing change as appropriate.
• Ensure that all compliance infrastructure (i.e. compliance manuals, handbooks, compliance monitoring plan, etc) is kept up to date and accurately reflect the demands of relevant regulation, as well as overall group-wide firm policies
• Carry out various planned projects
The ideal candidate should have solid compliance experience gained within an Asset Management or Private Bank/ PWM firm, whilst able to demonstrate sufficient expertise / competence to be registered as the CF10 & CF11 including CRS and FATCA.
For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at

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