Exclusive: Deputy Head of Compliance – Asset Management Experience (inc AIFs & UCITS) Required
£100K - £120K plus Bonus & Benefits | City of London
Our client, a European Asset Manager, is looking for an experienced Deputy Head of Compliance to join their growing team. Reporting to the Head of Compliance and with oversight for a small team you will have broad compliance advisory, policy and change responsibilities across all of the business. Duties will include;
• Supporting the Head of Compliance with day-to-day management and oversight of the Compliance function for the FCA & SEC regulated firms in relation to all aspects of regulatory compliance, setting department’s objectives, projects and follow up.
• Regulatory change - analysing consultation documents issued by FCA, ESMA, CBI, SEC, Treasury and other relevant bodies, and working with trade associations in relation to responding to policy initiatives and the implementation of EU directives.
• Helping set compliance policy and advising on compliance implications of strategic developments.
• Ensuring that the firm’s business is conducted in accordance with the relevant sourcebooks within the FCA Handbook, SEC and Central Bank of Ireland rules and best practice guidance issued by the regulators
• Ensuring the company’s compliance policies are up to date, that the UK group’s compliance risks are regularly assessed and that the compliance monitoring programme is of sufficient depth & breadth to uncover control weaknesses & breaches of regulations and that appropriate changes are made following rule changes & new business developments.
• Help with preparing compliance reports for the Executive and Board.
• Liaising with regulators and auditors (internal and external) and Group Compliance on all compliance related issues as required.
You must be an experienced Compliance Practitioner with a successful track-record as a senior manager within a medium to large UK regulated investment management firm. While an in-depth knowledge and sound understanding of UK regulatory regime with an understanding of ESMA rules is required as important, will be a detailed knowledge of UCITS and AIF’s as well as knowledge of MiFID regulated segregated portfolios.
This role will be to support the Head of Compliance and fully deputise in their absence so is one of influence, responsibility & integrity and will require someone whose career & experience demonstrates this. NB Role will be remote based to begin with, given Covid 19.
This is an excellent opportunity to join a well-established business in a senior and influential role. So if you believe you have the breadth of technical knowledge and self-drive to take ownership of this role then please contact Gary Collins on 020 7562 7400 or send your details to firstname.lastname@example.org.
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