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- Tasks: Lead compliance operations and develop a robust framework for regulatory adherence.
- Company: Join a dynamic asset management firm focused on growth and innovation.
- Benefits: Enjoy competitive bonuses, health perks, generous leave, and fun team events.
- Why this job: Be part of an executive team shaping compliance in a rapidly evolving industry.
- Qualifications: 15+ years in compliance with expertise in UK regulations and asset management.
- Other info: Opportunity to engage with global regulatory bodies and enhance your professional network.
The predicted salary is between 72000 - 108000 £ per year.
We are seeking an exceptional Chief Compliance Officer (CCO) to join our dynamic and rapidly growing asset management firm. The ideal candidate will be a seasoned compliance professional with a proven track record in navigating complex regulatory environments, particularly within the UK financial services sector. As a key member of our executive team, you will be responsible for developing and implementing a robust compliance framework that not only meets current regulatory requirements but also anticipates future changes in the regulatory landscape.
Responsibilities
- Compliance Leadership and Team Development: Lead and enhance the compliance function, managing day-to-day operations while fostering the growth and development of team members to ensure a strong and effective compliance team.
- Senior Compliance Roles: Serve as Chief Compliance Officer (CCO), holding SMF16 and SMF17 designations in a UK regulated financial firm, demonstrating expertise in senior compliance leadership.
- Professional Network Utilisation: Leverage and expand a robust network of advisors to access expert guidance and strategic insights when needed, ensuring informed decision-making.
- Alternative Investment Expertise: Apply comprehensive knowledge of Alternative Investment Funds, particularly those based in Luxembourg and the Cayman Islands, to navigate complex regulatory environments.
- Digital Assets Expertise: Demonstrate familiarity with virtual/crypto assets, tokens, and MiCA regulations to support the company's innovative initiatives and stay ahead of emerging trends.
- Regulatory Filings Oversight: Oversee all regulatory filings for both the Company and the Funds, ensuring accuracy and compliance with relevant regulations.
- SMF Roles with FCA: Assume the SMF16 (Compliance Oversight) and SMF17 (MLRO) roles with the FCA, ensuring compliance with UK regulatory requirements.
- Global Compliance Support: Support the firm on all UK and global compliance initiatives, engaging with international regulatory bodies such as SEC (USA), NFA (USA), CSSF (Luxembourg), ADGM (Abu Dhabi), MISA (Saudi Arabia), RBI (India), Bank of Italy, and others as required.
- Organizational Growth and Strengthening: Continuously grow and strengthen the organization, focusing on regulatory compliance, oversight, and risk management to ensure sustainable growth.
- Cross-Jurisdictional Compliance: Ensure regulatory compliance across all jurisdictions as the organization expands, maintaining the highest standards of ethical business practices and compliance.
- Compliance Strategy Alignment: Collaborate with senior leadership to align compliance strategies with overall business objectives, fostering a culture of compliance throughout the organization.
- Regulatory Landscape Monitoring: Stay informed about evolving regulatory landscapes, particularly in the UK and EU, to proactively address compliance challenges and opportunities, ensuring the organization remains compliant and competitive.
Requirements
- Proven Compliance Expertise: A seasoned professional with at least 15 years of experience in compliance, demonstrating a deep understanding of regulatory frameworks.
- UK Regulatory Expertise: Strong background in UK-FCA compliance and regulatory affairs, with a comprehensive grasp of relevant laws and guidelines.
- Senior Compliance Leadership: Experience as a Chief Compliance Officer (CCO) with current or recent roles as SMF16 and SMF17 in a UK regulated financial firm, ensuring familiarity with senior management responsibilities.
- Asset Management Experience: Proven track record in a UK-regulated asset management firm of similar scale (100-150 employees / 4-10 billion AuM), offering insights into operational complexities and regulatory requirements.
- Professional Network: Possession of a robust network of advisors, enabling access to expert guidance and strategic insights when needed.
- Alternative Investments Knowledge: In-depth understanding of Alternative Investment Funds, particularly those based in Luxembourg and the Cayman Islands, highlighting expertise in complex financial structures.
- Digital Assets Familiarity: Familiarity with virtual/crypto assets, tokens, and MiCA regulations, providing a competitive edge in emerging financial technologies.
- Strategic Vision: A strategic thinker capable of enhancing existing compliance policies, procedures, and infrastructure while implementing scalable structures to support the safe expansion of our global organization.
Benefits
- Competitive bonus scheme.
- Bupa health & dental, Cycle to Work scheme, enhanced pension, and generous annual leave.
- Enhanced parental leave, special leave allowances, and charity giving options.
- Regular team events, legendary summer & Christmas parties, knowledge sharing sessions, and quarterly town halls.
- Team lunches, dinners, Friday drinks, team sport activities.
Chief Compliance Officer employer: Fasanara
Contact Detail:
Fasanara Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Chief Compliance Officer
✨Tip Number 1
Network actively within the financial services sector, especially with professionals who have experience in compliance roles. Attend industry conferences and seminars to meet potential colleagues and mentors who can provide insights into the Chief Compliance Officer role.
✨Tip Number 2
Stay updated on the latest regulatory changes in the UK and EU, particularly those affecting asset management and compliance. This knowledge will not only prepare you for interviews but also demonstrate your commitment to the role and the industry.
✨Tip Number 3
Consider joining professional associations related to compliance and financial services. These organisations often provide resources, networking opportunities, and events that can help you connect with key players in the field.
✨Tip Number 4
Prepare to discuss your strategic vision for compliance in an asset management context. Think about how you would enhance existing policies and procedures, and be ready to share examples of how you've successfully navigated complex regulatory environments in the past.
We think you need these skills to ace Chief Compliance Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your extensive compliance experience, particularly in the UK financial services sector. Emphasise your roles as Chief Compliance Officer and your familiarity with SMF16 and SMF17 designations.
Craft a Compelling Cover Letter: In your cover letter, demonstrate your understanding of the regulatory landscape and how your strategic vision aligns with the company's goals. Mention your expertise in alternative investments and digital assets to showcase your fit for the role.
Highlight Relevant Achievements: Include specific examples of how you've successfully navigated complex regulatory environments in previous roles. This could involve detailing your experience with regulatory filings or your contributions to compliance strategy alignment.
Showcase Your Professional Network: Mention your robust network of advisors and how it has helped you access expert guidance in the past. This will illustrate your proactive approach to compliance and your ability to leverage resources effectively.
How to prepare for a job interview at Fasanara
✨Showcase Your Compliance Expertise
Be prepared to discuss your extensive experience in compliance, particularly within the UK financial services sector. Highlight specific examples of how you've navigated complex regulatory environments and the impact of your leadership on compliance frameworks.
✨Demonstrate Strategic Vision
Articulate your strategic approach to compliance. Discuss how you would enhance existing policies and procedures while implementing scalable structures that support the organisation's growth. This will show your ability to align compliance strategies with business objectives.
✨Leverage Your Professional Network
Talk about your robust network of advisors and how you utilise it for expert guidance. Providing examples of how this network has helped you make informed decisions in the past can demonstrate your proactive approach to compliance challenges.
✨Stay Ahead of Regulatory Changes
Show your awareness of the evolving regulatory landscape, especially in the UK and EU. Discuss how you keep yourself updated on changes and how you plan to proactively address compliance challenges, ensuring the organisation remains competitive.
