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£100K - £120K + Bonus & Benefits (Pro-rata or circa £500 per day) | Hybrid/London
Ref: 3882G

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

We are exclusively recruiting for our client, a boutique London based Asset Manager, seeking a part time Head of Compliance & MLRO. You will be responsible for compliance management and will develop & maintain regulatory compliance policies and carry out ongoing monitoring and investigations. Supporting and reporting to the founder and CEO, responsibilities will include;
  • Day to day management and oversight of the Compliance function for the FCA regulated funds in relation to all aspects of regulatory compliance.
  • Remain up to date with all regulatory change advising the CEO and business accordingly.
  • Setting 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, and best practice guidance issued by the regulators.
  • Ensuring all compliance risks are regularly assessed (at least annually) and that the compliance monitoring programme is of sufficient depth and breadth to uncover control weaknesses and breaches of regulations and that appropriate changes are made following rule changes and new business developments.
  • Preparing compliance reports 
  • Overall responsibility for Liaising with regulators and auditors and other external stake holders.
You must be an experienced Compliance Practitioner with a successful track-record in a senior compliance role with a similar UK regulated investment management firm. While an in-depth knowledge and sound understanding of UK regulatory regime is required as important, will be your ability to deal with the regulator and a be an influential compliance leader. 
This role will be one of influence, responsibility and integrity so as such you will need not only to have the seniority and gravitas to be effective across all of these but also have demonstrated experience of upholding these values. NB the role is for two days per week with maybe one out of four of those popping into their West End offices as needed. 
This is an excellent opportunity to join a small growing asset manager in a senior and influential role.  If this sounds like your next career move and would like to know more, please call Gary Collins on 020 7562 7400 for a confidential discussion about this position or send your details to however please note due to Covid 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). 
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

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