Head of Investment Management Compliance

Recruiter
MERJE
Location
London (Central), London (Greater)
Salary
£90,000-£120,000 basic plus package
Posted
04 Dec 2018
Closes
03 Jan 2019
Ref
EM/15176
Job Sector
Compliance
Job Function
Compliance
Experience Level
Management
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

Apply for Head of Investment Management Compliance

Already uploaded your CV? Sign in to apply instantly

Apply

Upload from your computer

Or import from cloud storage

Your CV must be a .doc, .pdf, .docx, .rtf, and no bigger than 1MB


4000 characters left

Marketing Communication

We'd love to send you information about Jobs and Services from Jobs In Risk by email.

All emails will contain a link in the footer to enable you to unsubscribe at any time.


When you apply for a job we will send your application to the named recruiter, who may contact you. By applying for a job listed on Jobs In Risk you agree to our terms and conditions and privacy policy. You should never be required to provide bank account details. If you are, please email us.

Similar jobs

Similar jobs