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- Tasks: Lead compliance efforts and develop control systems for fund managers.
- Company: A top-tier provider supporting emerging investment firms.
- Benefits: Competitive salary, career growth, and a chance to shape the future.
- Why this job: Be a key player in enhancing compliance and driving business success.
- Qualifications: Experience as an Appointed Representative in fund or asset management.
- Other info: Join a dynamic team focused on innovation and profitability.
The predicted salary is between 54000 - 84000 £ per year.
THE COMPANY: Our client is a leading provider of services supporting emerging fund managers and investment firms.
THE RESPONSIBILITIES:
- Compliance and MLRO responsibilities: Monitoring; ICARA; SYSC and MLRO reports;
- Supervise KYC;
- Work with COO to develop and implement control systems;
- Financial Promotions for Funds and Clients;
- Funds: TFI obligations under fund agreements; Onboarding Committee;
- Client Reviews: Interim and Final;
- Marketing: Pipeline development.
EXPERIENCE REQUIRED:
- Candidates must have Appointed Representative experience;
- Fund/Asset management background.
This will be a key hire for someone to develop the company’s systems, business and profitability.
Head of Compliance employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance
✨Tip Number 1
Network like a pro! Reach out to your connections in the fund management and compliance sectors. Attend industry events or webinars to meet potential employers and get your name out there.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of compliance regulations and fund management practices. We want you to be able to discuss how you can enhance their systems and profitability confidently.
✨Tip Number 3
Showcase your Appointed Representative experience during interviews. Be ready to share specific examples of how you've successfully managed compliance responsibilities and improved processes in previous roles.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed, and we’re here to help you every step of the way in landing that Head of Compliance role.
We think you need these skills to ace Head of Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your Appointed Representative experience and any relevant fund or asset management background. We want to see how your skills align with the responsibilities listed in the job description.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for the Head of Compliance role. Be sure to mention your experience with compliance, KYC supervision, and any systems you've developed.
Showcase Your Achievements: When detailing your past roles, focus on specific achievements that demonstrate your ability to develop systems and improve profitability. We love numbers, so if you can quantify your successes, even better!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates during the process.
How to prepare for a job interview at Compliance Professionals
✨Know Your Compliance Stuff
Make sure you brush up on your compliance knowledge, especially around ICARA and SYSC regulations. Be ready to discuss how you've handled compliance in previous roles, as this will show your expertise and readiness for the Head of Compliance position.
✨Showcase Your Leadership Skills
As a key hire, they’ll want to see your leadership capabilities. Prepare examples of how you've successfully led teams or projects, particularly in developing control systems or supervising KYC processes. This will demonstrate your ability to drive the company’s systems and profitability.
✨Understand the Fund Management Landscape
Familiarise yourself with the current trends and challenges in fund and asset management. Being able to discuss these topics will not only show your industry knowledge but also your strategic thinking when it comes to financial promotions and client reviews.
✨Prepare Questions for Them
Interviews are a two-way street! Think of insightful questions to ask about their current compliance systems and future goals. This shows your genuine interest in the role and helps you assess if the company aligns with your career aspirations.
