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£120K- £150K (Pro rata) + Bonus & Bens | London
Ref: 3690G

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


Our client, a leading Institutional Fund Management firm, are looking to replace their Head of Compliance who is retiring. In this interesting and varied role, key duties and responsibilities include:

  • Act as Principal User of FCA reporting systems, ensure completion of regulatory returns, including reporting under AIFMD, and be the key relationship contact for the FCA
  • Reporting to the Board on compliance matters (quarterly)
  • Reporting on regulatory compliance to Clients as required (typically quarterly)
  • Implementing and updating Policies and Procedures and relevant sections of the Staff Handbook (as required on an ongoing basis)
  • Acting as key member of the Risk Committee including review and input into investment papers for new managed fund opportunities as and when required and reporting to the Board and clients
  • Approving materials for promotion of Unlisted funds in multiple jurisdictions (as required for new promotions)
  • Liaising with Business Units, to assist with implementation and to monitor and report on compliance with firms policies (Anti-Money Laundering, Anti-Bribery & Corruption, Conflicts policies, restricted share trading, etc)
  • Keeping up to date with any developments in relevant legislation and guidance advise the Executive Committee in the implementation of regulatory risk and compliance matters
  • Performing Annual Compliance certification

You should have good buy side Compliance experience, some of which must have covered Institutional clients (as no retail clients - hence limited AML issues). Also you should currently (or previously) have held CF10/SMF16.

Should you feel you have the experience and above average communication & technical skills to be a success in this role, then please contact Gary Collins on 020 7562 7400 for a confidential discussion about this position or send your details to

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