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Head of Compliance - Asset Management - CF10 - £150-200k base

Information About This Job

Job Title: Head of Compliance - Asset Management - CF10 - £150-200k base
Contract Type: Permanent
Location: London
Industry:
Salary: £150,000 - £200,000
Contact Name: Mark Foy
Contact Email: mfoy@lawsonchase.com
Job Published: about 1 year ago

Job Description

This is an exciting opportunity to work as the lead compliance officer for a fast-growing institutional and high net worth asset management firm based in London. The firm is part of the global division of its US-based parent company, one of the largest independent asset managers.

The Head of Compliance helps ensure the firm and its employees are in compliance with applicable regulations. The ideal candidate must have at least 10 years’ experience in compliance in the financial services sector and a strong knowledge of FCA regulation. In addition, the successful candidate should be a highly organised individual with strong analytical skills, a creative mind set, sound judgement and business acumen, an aptitude for learning, excellent communication and writing skills, strong work ethic, the ability to work collaboratively as a member of a diverse team, and internal motivation to work independently.

 

Key Responsibilities

  • Provide advice and guidance to the business on relevant regulatory issues.

  • Identify, assess and research the scope of regulatory impact from new regulations and provide compliance advice on regulatory developments.

  • Develop, initiate, maintain and revise policies and procedures to help prevent, detect and correct illegal, unethical or improper conduct.

  • Respond to alleged violations of rules, regulations, policies or procedures by evaluating or recommending the initiation of investigative procedures. Develop and oversee a system for uniform handling of such violations.

  • Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future.

  • Provide reports on a regular basis, and as directed or requested, to keep senior management and the board of directors informed of the operation and progress of compliance efforts. Ensure proper reporting of violations or potential violations to senior management, the board of directors, and regulators as appropriate and/or required.

  • Institute and maintain an effective compliance communication program for the organisation, including promoting an understanding of new and existing compliance issues and related policies and procedures.

  • Work to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.

  • Perform ongoing appraisal and analysis of regulatory environment to allow senior members of the business to understand regulatory developments

  • Acts as the firm liaison with regulatory agencies as necessary.

  • Manage UK compliance personnel.

  • Work with members of the overall UK and US legal and compliance team to help ensure a culture of compliance and a congruent compliance programme throughout the organisation.

 

Technical Skills & Qualifications

  • Degree educated.

  • Adequate qualification certificates (CF10 – Compliance Oversight is a must).

  • A minimum of 10 years’ experience in an FCA-regulated financial services institution, including demonstrated leadership and people management skills.

  • Familiarity with asset management, pension advice, retail and institutional sales, and operational, financial, quality assurance and human resource procedures and regulations.

  • Understanding of how front, middle and back office functions work within an asset manager.

  • Knowledge of the EU and UK legislative process and EU regulation an advantage. 

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