Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Lead compliance efforts, ensuring adherence to regulations and improving organisational practices.
- Company: Join a dynamic asset management firm committed to excellence and regulatory integrity.
- Benefits: Enjoy competitive salary, flexible working options, and opportunities for professional growth.
- Why this job: Be at the forefront of compliance, shaping policies that impact the financial industry positively.
- Qualifications: Proven experience in compliance, strong analytical skills, and knowledge of FCA and SEC regulations required.
- Other info: Engage with senior management and external advisors, making a real difference in compliance culture.
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 in respect to risk management.
Active participation within the senior/executive management committee.
Prepare and submit FCA returns via RegData and Connect.
Submit FCA event-driven reporting as required.
Prepare and submit Annual Form ADV to the SEC, plus other than annual updates as required.
Implement and ensure policies are in place to ensure continuous improvement of the firm’s compliance practices.
Liaise with external service providers as required.
Maintain, review and develop new and existing policies and procedures as appropriate to ensure compliance with the evolving regulatory environment and the changing business demands, and update all policies and procedures at least annually.
Liaise with external compliance advisor regarding quarterly monitoring visits and to obtain expert advice as required.
Periodic compliance monitoring to include: best execution, dealing errors, cross trades, and maintenance of breach registers.
Periodic staff compliance monitoring to include: personal account dealing, quarterly personal holdings declarations, gifts & entertainment, political contributions, annual compliance training, fitness & propriety assessment, maintenance of accurate job descriptions.
Responsibility for new staff compliance inductions.
Approval of new brokers.
Research new regulations and advise how these affect the firm.
Implement the Consumer Duty regulatory framework within the firm’s operations, policies and procedures.
Maintain public disclosure items e.g. UK Stewardship Code, Shareholder Rights Directive, MIFIDPRU 8 (remuneration).
Ensure the firm is aware and compliant with UK SDR rules and the EU SFDR rules.
Review and approve the distribution of all marketing materials across multiple jurisdictions, working in conjunction with the client service team to maintain an accurate record of materials sent and to whom.
Ensure a system is in place to capture all reverse solicitations along with outcomes.
Active participation in initial and ongoing client due diligence visits.
Annual due diligence reviews on external service providers.
Attendance at ITC client board meetings as required.
Quarterly review and update of risk matrix in line with changes to the firm’s business.
Development of risk management systems in conjunction with Operations Team.
Head of Compliance - Asset Management employer: Morgan McKinley
Contact Detail:
Morgan McKinley Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance - Asset Management
✨Tip Number 1
Familiarise yourself with the latest FCA, EU, and SEC regulations. Understanding these regulations will not only help you in interviews but also demonstrate your commitment to compliance and risk management.
✨Tip Number 2
Network with professionals in the compliance and asset management sectors. Attend industry events or webinars to connect with others who can provide insights into the role and potentially refer you to opportunities at StudySmarter.
✨Tip Number 3
Stay updated on the evolving regulatory environment by subscribing to relevant newsletters or joining professional associations. This knowledge will be invaluable during discussions with our senior management team.
✨Tip Number 4
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.
We think you need these skills to ace Head of Compliance - Asset Management
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance, particularly within asset management. Emphasise your understanding of FCA, EU, and SEC regulations, as well as any specific achievements related to compliance gaps you've addressed.
Craft a Strong Cover Letter: In your cover letter, demonstrate your knowledge of the new CCI regime and how you plan to implement it. Discuss your experience with compliance monitoring and risk management, and how you can contribute to continuous improvement in compliance practices.
Showcase Leadership Skills: Since this role involves active participation in senior management committees, highlight your leadership experience. Provide examples of how you've successfully led compliance initiatives or managed teams in previous roles.
Highlight Regulatory Knowledge: Clearly outline your familiarity with various regulatory frameworks, including the Consumer Duty regulatory framework and UK SDR rules. Mention any specific instances where you've researched new regulations and advised on their implications for a firm.
How to prepare for a job interview at Morgan McKinley
✨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 risk management and your approach to supporting the first line of defence. Be ready to discuss how you would implement and monitor effective risk management systems.
✨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 breaches or changes in regulatory requirements and be ready to articulate your thought process.
