At a Glance
- Tasks: Lead compliance efforts and develop robust frameworks in asset management.
- Company: Dynamic asset management firm focused on regulatory excellence.
- Benefits: Competitive salary, mentorship opportunities, and a collaborative work environment.
- Other info: Join a supportive team with opportunities for professional growth.
- Why this job: Shape the future of compliance while making a real impact in the industry.
- Qualifications: Strong knowledge of UK/EU regulations and experience in compliance management.
The predicted salary is between 70000 - 90000 £ per year.
Responsibilities
- Develop, implement and maintain robust compliance framework, policies, and procedures.
- Providing regulatory advice and guidance to all parts of the division, including senior management.
- Manage a small team and provide coaching and mentorship.
- Oversee regular risk assessments, compliance reviews, and audits.
- Stay up-to-date with regulatory developments, industry trends, and emerging risks.
- Develop, review, and maintain Compliance policies, procedures and information to the business.
- Review and approve marketing material and presentations.
- Work in partnership with senior stakeholders across the business.
- Assist in the Compliance due diligence process for ACD’s and Man Co’s.
- Monitoring, recording, and dealing with complaints against the regulated firm(s).
Requirements
- Keeping up to date knowledge of regulatory developments at UK/EU level.
- Experience in reviewing and tracking relevant FCA consultations and other policy documents.
- Develop, implement and maintain robust compliance framework, policies, and procedures in accordance with relevant regulatory requirements.
- Providing regulatory advice and guidance to all parts of the division including the board/senior management.
- Manage a small team, provide coaching and mentorship to junior team members.
- Ensuring effective implementation of anti-money laundering and counter-terrorism financing (AML/CTF) measures.
- Oversee regular risk assessments, compliance reviews, and audits to identify and address any compliance gaps or weaknesses.
- Stay up-to-date with regulatory developments, industry trends, and emerging risks.
- Develop, review, and maintain Compliance policies, procedures and information to the business.
- Experience with regulatory returns submissions to all relevant authorities with particular emphasis on FCA returns.
- Have a good knowledge of topical and relevant regulatory regimes such as Mi FID 2, Consumer Duty, UCITS, ICAV, GDPR, SMCR and Consumer Duty regulations.
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We think you need these skills to ace Head of Compliance – Asset Management
Compliance Framework Development
Regulatory Advice
Team Management
Coaching and Mentorship
Risk Assessment
Compliance Reviews
Auditing
