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- Tasks: Lead compliance efforts, ensuring adherence to regulations and managing risk effectively.
- Company: Join a dynamic asset management firm committed to excellence and integrity.
- Benefits: Enjoy competitive salary, flexible working options, and professional development opportunities.
- Why this job: Be part of a forward-thinking team that values compliance and ethical practices in finance.
- Qualifications: Experience in compliance, knowledge of FCA and SEC regulations, and strong analytical skills required.
- Other info: Opportunity to influence compliance strategies and work with senior management.
The predicted salary is between 72000 - 108000 £ per year.
Conduct a thorough analysis of organisational policies, processes, and controls to identify and address compliance gaps.
Maintain compliance with FCA, EU, & SEC regulations.
Ensure the firm is aware of and compliant with the new CCI regime when it comes into effect.
Provide oversight and support to the first line of defence regarding risk management.
Actively participate within the senior/executive management committee.
Prepare and submit FCA returns via RegData and Connect, and submit FCA event-driven reporting as required.
Prepare and submit the Annual Form ADV to the SEC, along with other updates as needed.
Implement and ensure policies are in place for continuous improvement of the firm’s compliance practices.
Liaise with external service providers as needed.
Maintain, review, and develop policies and procedures to ensure compliance with evolving regulations and business demands, updating them at least annually.
Liaise with external compliance advisors regarding quarterly monitoring visits and expert advice.
Conduct periodic compliance monitoring, including best execution, dealing errors, cross trades, and breach register maintenance.
Monitor staff compliance, including personal account dealing, declarations, gifts & entertainment, political contributions, training, and job descriptions.
Oversee new staff compliance inductions and approve new brokers.
Research new regulations and advise on their impact on the firm.
Implement the Consumer Duty regulatory framework within the firm’s operations, policies, and procedures.
Maintain public disclosure items such as UK Stewardship Code, Shareholder Rights Directive, and MIFIDPRU 8 (remuneration).
Ensure awareness and compliance with UK SDR rules and EU SFDR rules.
Review and approve the distribution of marketing materials across jurisdictions, maintaining accurate records.
Ensure systems are in place to capture reverse solicitations and outcomes.
Participate in initial and ongoing client due diligence visits and annual reviews of external service providers.
Attend ITC client board meetings as required.
Review and update the risk matrix quarterly, aligning with changes in the firm’s business, and develop risk management systems with the Operations Team.
Contact Detail:
Placed Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance - Asset Management (London)
✨Tip Number 1
Network with professionals in the compliance and asset management sectors. Attend industry events, webinars, or local meetups to connect with individuals who can provide insights into the role and potentially refer you to opportunities at StudySmarter.
✨Tip Number 2
Stay updated on the latest FCA, EU, and SEC regulations. Demonstrating your knowledge of current compliance issues during conversations or interviews can set you apart as a well-informed candidate.
✨Tip Number 3
Prepare to discuss your experience with compliance monitoring and risk management systems. Be ready to share specific examples of how you've implemented policies or improved compliance practices in previous roles.
✨Tip Number 4
Familiarise yourself with the Consumer Duty regulatory framework and other relevant compliance frameworks. Showing that you understand these concepts will demonstrate your readiness for the responsibilities of the Head of Compliance role.
We think you need these skills to ace Head of Compliance - Asset Management (London)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance, particularly within asset management. Emphasise your familiarity with FCA, EU, and SEC regulations, as well as any specific achievements in compliance roles.
Craft a Strong Cover Letter: In your cover letter, demonstrate your understanding of the compliance landscape and how it relates to the role. Mention your experience with policy development and your proactive approach to identifying compliance gaps.
Showcase Leadership Skills: Since this is a senior position, highlight your leadership experience. Discuss how you've successfully managed teams or projects, particularly in compliance or risk management contexts.
Research the Company: Familiarise yourself with the company's compliance culture and recent developments. This will help you tailor your application and show that you're genuinely interested in the role and the organisation.
How to prepare for a job interview at Placed
✨Know Your Regulations
Familiarise yourself with the FCA, EU, and SEC regulations relevant to asset management. Be prepared to discuss how these regulations impact compliance practices and how you would ensure adherence within the firm.
✨Demonstrate Analytical Skills
Showcase your ability to conduct thorough analyses of policies and processes. Prepare examples of how you've identified compliance gaps in previous roles and the steps you took to address them.
✨Engage with Risk Management
Highlight your experience in overseeing risk management frameworks. Be ready to discuss how you would support the first line of defence and implement continuous improvement in compliance practices.
✨Prepare for Scenario Questions
Anticipate scenario-based questions that may test your problem-solving skills in compliance situations. Think about how you would handle compliance monitoring, staff training, and liaising with external advisors.
