EXCLUSIVE: GLOBAL HEAD OF COMPLIANCE
(PART-TIME - 3 DAYS PW) BOUTIQUE ASSET MANAGER – ASSET MANAGEMENT EXPERIENCE (INC AIFMD & MIFID II) REQUIRED
£ 125000 - £ 160000 PRO RATA + Benefits & Bonus
We have been exclusively retained by our Client, a Global Asset Manager, looking to hire a Global Head of Compliance who will be the UK SMF16 for their newly Authorised UK business with oversight for their global operations. Reporting to the CEO and Board, duties will include:
- Ensueing regulatory compliance across multiple jurisdictions, including the UK, Jersey, Dubai, Cayman Islands and BVI.
- Advising the senior management team on all UK Compliance, Risk and AML obligations and requirements, ensuring they are kept up to speed with all new and upcoming regulatory changes.
- Overseeing the UK Office's compliance programme and reviewing, writing, and implementing policies and procedures as required.
- Assessing the risk framework for funds and accounts managed/advised by the UK Office.
- Conducting periodic testing in accordance with the compliance monitoring programme
- Assisting in the preparation of risk and compliance-related supporting documentation and materials for quarterly UK Board meetings
- Managing other compliance function duties e.g. training, verifying restricted lists, overseeing PA dealing, breaches registers and gifts/entertainment registers
The successful candidate will be degree educated and must have gained a minimum of eight years of asset management compliance experience, with a good knowledge of the relevant UK rules and regulations applicable to UK Asset Management business (including FSMA, AIFMD & MiFID II). Any experience in a Global role is useful but more important is a “sleeves rolled up approach”, willing to learn new material, take responsibility and get involved in the detail of compliance issues.
This is a fantastic opportunity for a confident and polished individual with strong interpersonal skills to join a hugely successful global asset manager in a very visible and influential role. The business is seeing significant growth and is well placed because of its product focus to continue to grow.
If you feel you have the above-average interpersonal skills and technical knowledge to help the business please call Gary Collins on 020 7562 7400 for a confidential discussion about this position or send your details to email@example.com (including a contact number & email) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).