Exclusive: Start Up Head of Compliance & COO - Funds Knowledge Required
We are exclusively recruiting for our Client, a start up Investment Management firm (backed by a multi billion dollar parent) acquiring mainly overseas assets, seeking its first Compliance Officer & MLRO to also oversee Finance, HR & Operations. Duties will include:
• Hold CF10 & 11
• Handle all Compliance Reporting
• Carry out regular monitoring (possibly including overseas agents)
• Liaise with the General Counsel on acquisition issues
• Liaise with outside Consultants on Compliance issues
• Act as the MLRO and advise on any DD aspects
• Oversee the finance aspects and manage any HR/Ops needs
You should have a good knowledge of Funds compliance including some exposure to the relevant aspects of AIFMD & MiFID, an understanding of M & A and be willing to oversee the Finance & Operations aspects even if not done before. Any formal accounting or legal qualifications useful, however more important is an open cultural perspective, willing to engage with global partners and look at business issues from a commercial viewpoint.
Great opportunity to join a large international group albeit in a small (less than 10 staff currently) friendly office and build your own department whilst exposed to global issues.
For a confidential no obligation discussion, please feel free to call David Symes FCA on 020 7330 6966 or send your details to him at email@example.com 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.