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Job Specification

Head of Compliance & Operations – Fund Management Experience Required

£90K- £110K plus Bonus & Benefits | City
Ref: 3668G2

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


Our Client, a leading UK Wealth and Asset Management Group, is looking for a Head of Compliance & Operations to take charge of all compliance & operations related matters for their Fund Management subsidiary. Reporting to the executive management team with a dotted line to the Group Compliance Officer  (who holds CF10 & 11 but otherwise has no day to day involvement in the subsidiary), duties will include:

• Provide compliance advise and support to the fund management team
• Ensure that Fund Management business operates in compliance with FCA and other regulatory and legislative requirements
• Oversee the management, development and implementation of policies/procedures – maintaining relevant records and carrying out related tasks
• Liaise with group compliance to ensure regulatory requirements are met
• Work proactively to maintain systems and processes that keep pace with industry and regulatory needs
• Provide support to the Investment Control team in monitoring the various funds related businesses (both on and offshore), reporting on breaches, mandate compliance etc
• Create, maintain, implement, monitor and distribute relevant procedures to the Fund Management business
• Review compliance monitoring data on the fund management business and resolve any required actions in a timely manner
• Liaise with client’s compliance and operations departments to ensure the administration between all parties is completed in accordance with any agreements and SLA’s in place
• Provide accurate and meaningful MI to the funds ExCo and Board as require

The successful candidate will have gained significant compliance experience in a similar Fund Management environment, with a very good knowledge of operations and requirements around.   While you will need to have a detailed understanding of the FCA and regulatory requirements relevant to a Fund Manager, as important will be your ability to work under your own direction and to interact with and influence at all levels.

This is an excellent opportunity to join a well-established acquisitive business in a senior and influential role that for the right person may in time result in CF10/11 designation for the Fund Management business. 

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


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