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Exclusive: Chief Compliance Officer (Designate) – Boutique Asset Manager

£120K - £150K + Bonus & Benefits | London - West End
Ref: 3899G2

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 

We have been exclusively retained by our Client, a well-established Global Asset Manager, looking to hire a Compliance Officer who will take over as Chief Compliance Officer (CCO) over the next 12 to 24 months as part of the succession plan for the current CCO. You would be immediately responsible for FCA regulatory requirements, including filings and monitoring & communication of all FCA regulatory updates, subsequently expanding this to cover all international day-to-day compliance activities, with the current CCO providing guidance and oversight as they move toward retirement.  Reporting to the  incumbent CCO, duties will include: 

  • Working alongside the CCO 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 compliance monitoring programme 
  • Assisting in preparation of risk and compliance-related supporting documentation and materials for quarterly UK Board meetings 
  • Managing all UK AML related matters, including SARs and dealing with law enforcement agencies, as necessary. 
  • 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 compliance experience, with a good knowledge of the relevant UK rules and regulations applicable to the firm’s business and activities (including FSMA, AIFMD, MiFID II, MIFIR & UCITS). Any knowledge of SEC or Canadian Regulations is useful but more important is a “sleeves rolled up approach”, willing to learn new material, take responsibly and get involved in the details of compliance issues. 

NB You must be eligible to hold the SMF 16 & 17, although no need to have held before so may suit someone looking for their first SMF role. 

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 the business is well placed because of its product focus to weather the current global economic difficulties. NB Long term prospects include potential partnership.  

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 gary@symescollins.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).  

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