Head of Compliance
Salary:
From £100,000 - £120,000
Role:
Permanent
Location:
Remote
Our client is looking for a Head of Compliance to join their team.
About the role
They are looking for a Head of Compliance to be a key member of their team in London. This role is replacing their Compliance Director, and the successful candidate will take over the compliance team and take on the SMF 16/17 functions, overseeing all aspects of the firm’s compliance and financial crime functions, as well as assisting the firm with basic legal support.
This role will report to the Board of Directors, and day to day to the Managing Director.
You will be;
- Developing and implementing company policies and procedures across all business areas,
- Designing and monitoring control systems to deal with violations of legal rules and internal policies,
- Regularly assessing the efficiency of risk and control systems and recommending effective
improvements,
- Working with product and operational teams to implement new features in a compliant manner
- Taking on responsibilities of the MLRO and ensuring financial crime systems and controls are
sufficient for the needs of the business
- Oversee periodic monitoring on company procedures and processes and evaluating company procedures and reports to identify hidden risks or common issues,
- Leading employee training sessions on legal and compliance issues,
- Assist the business where appropriate with ad hoc legal matters such as NDA and Third party
agreement reviews and coordinate with legal counsel for specific matters where needed.
- Manage the Compliance team.
What you will need;
- Minimum 8 years relevant experience in financial services compliance preferably in a retail
broker or asset management firm.
- A bachelor’s degree (law, regulation or economics) is desirable but not required.
- Experience working with and managing the demands of key stakeholders, as well as advocating for improvement of systems and controls to adhere to regulatory requirements.
- Strong experience in a leadership/senior management role within compliance and the ability
to manage a team.
- Extensive knowledge of UK regulatory compliance, in particular FCA rules and guidance, still
applicable European legislation (MiFID, GDPR, MLDs) and general industry standards.
- Awareness of the changing investment management landscape and the curiosity to find opportunities in technology, market developments, though these changes
- Knowledge and experience of systems required to carry out your role, including; Microsoft
Office Suite (particularly Excel).
Benefits include:
- Remote working
- “Work from anywhere” scheme – work up to 3 months overseas
- Eligibility for Option Scheme on launch
- Support for developmental courses and qualifications
Apply
If you wish to find out more about this role and apply please contact:
