Exclusive: Head of Compliance – Investment Management Experience Required
Our Client, a leading Investment Management company, are looking to hire a Head of Compliance to drive the compliance and risk strategy, structure and processes and lead its execution. Reporting to the Chief Legal, Risk & Compliance Officer, duties will include:
• Manage, develop and lead the Compliance team
• Ensure that an effective risk & compliance policy and control framework is in operation across the business, working with the Executive team and Board to ensure buy-in, engagement and implementation across the business.
• Manage the relationships with the FCA and other relevant regulators, acting as the key point of liaison with them
• Design, monitor and oversee an effective AML and financial crime framework, including policy maintenance, training, monitoring and reporting
• Reviewing and approving financial promotions prior to publication to ensure compliant with FCA rules and requirements
• Report to the executive team and Board on key risks, issues and actions taken, ensuring that concerns and recommendations are clearly and concisely articulated so that appropriate action can be taken as necessary
The ideal candidate should have a number of years’ experience of working in a Compliance department from within an investment management business, with some exposure to retail clients. You should have a strong knowledge of the FCA requirements and either be able & willing to be registered as the CF10/11 or else looking to work towards such in the future. NB Salary will be based on such.
For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 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. 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.