Head of Investment Management Compliance

London (Central), London (Greater)
£90,000-£120,000 basic plus package
04 Dec 2018
03 Jan 2019
Job Sector
Job Function
Experience Level
Contract Type
Full time, Permanent

Our client is an award-winning investment management and financial planning business with a strong reputation across the UK. Due to ongoing structural growth, the business is looking to recruit an experienced Compliance specialist to provide regulatory oversight for the firm’s Investment & Fund Management part of the business.

 The Role

  • Act as a first point of contact for the investment management business, acting as an ambassador to promote compliance awareness and good practice
  • Provide advice and assistance as requested, providing compliant pragmatic solutions
  • Assist the investment management business to manage regulatory risk, including risk identification, assessment, mitigation and control.
  • Production of accurate and timely monthly reports regarding activity and issues arising for the Chief Risk Officer report and other quarterly reports such as the Risk and Audit Committee papers
  • Help implement group projects, working closely with different departments to ensure compliance with operating and compliance procedures
  • Attend and support investment management meetings, including asset allocation and fund governance meetings, and relevant investment operations meetings
  • Work collaboratively with team members to ensure all issues identified through monitoring, complaints and changes to regulations are appropriately addressed, providing or assisting in delivery of training as necessary
  • In conjunction with other team members, work with the investment management central support team on proposition and standards, fact finds, investment profile reports etc.
  • As a senior member of the team, support the whole of the Risk and Compliance function to be successful



Key Requirements

  • Relevant Compliance experience gained within an Investment Management or Fund Management environment
  • Compliance exposure to different types of funds (UCITS; NURS; AIF) and discretionary portfolio management
  • Excellent knowledge of FCA Rules in particular SYSC, CASS, COBS, CIS, FUND and AIFMD
  • Excellent written and verbal communication skills including the ability to influence at all levels with good judgement and decision-making skills
  • Able to demonstrate significant experience in interpreting, understanding and applying the FCA rules to achieve business focused and commercial outcomes.
  • Must be able to demonstrate significant technical experience of delivering wide-ranging regulatory guidance and solutions in a commercial environment
  • Ability to deliver training
  • Strong analytical and numerical skills
  • Qualifications: Degree holder preferable; IMC/CFA, CISI Compliance Diploma

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