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Head of Compliance (Boutique Asset Manager) – Fund Management Compliance Experience (including UCITS & AIFMD knowledge) required

Compliance Recruitment Solutions London, United Kingdom
Posted 1 day ago Hybrid Permanent £120k - £140k
D
Posted by
David Symes
Recruiter

Head of Compliance (Boutique Asset Manager) – Fund Management Compliance Experience (including UCITS & AIFMD knowledge) required

 Ref: 3986G

 £120K - £140K + Bonus & Benefits                                                                                  London/Hybrid

 

Our Client, a well-established European Asset Manager, is looking to hire a new Head of Compliance & MLRO who will take over from the current incumbent who is retiring. As the registered SMF16 and SMF17 you will be tasked with supporting the CEO and board in further developing the compliance function, frameworks and programme.  As part of the senior management team and reporting directly to the CEO, duties will include:

 

  • Continued development and implementation of a comprehensive compliance program, ensuring the business remains compliant with all relevant laws, regulations, and best practice.
  • Act as a primary point of contact for FCA and maintain a strong and effective relationship with the FCA.
  • Oversight of AML and CTF policies, ensuring adherence to legal obligations and best practices
  • Continuously monitor and assess the company’s exposure to regulatory risk, identifying areas for improvement and implementing appropriate controls.
  • Review and update policies and procedures regularly.
  • Conduct compliance audits and assessments.
  • Report compliance finding to senior management and recommend corrective actions.
  • Stay up to date with regulatory changes and industry trends, ensuring that the compliance program evolves as necessary.
  • Managing other compliance function duties e.g. verifying restricted lists, overseeing PA dealing and breaches & gifts/entertainment registers.

 

The successful candidate will be degree educated and must have gained a minimum of seven years of fund management FCA compliance experience, with a good knowledge of relevant UK and EU rules and regulations (including (UCITS, AIFMD, MIFID, EMIR). Previous MLRO experience is useful but more important is good product knowledge (Equities, FI & FX) as well as a “sleeves rolled up approach”, willing to learn new material, taking responsibility and getting involved in the details of compliance issues.

 

NB You must be eligible to hold the SMF 16 & 17, although no need to have held before so may suit someone looking for their first SMF role.

 

This is a fantastic opportunity for a confident and polished individual with strong interpersonal skills to join a hugely successful European Asset Manager in a very visible and influential role. The business is seeing significant growth and the business is well placed because of its product focus and investors to continue to grow.

 

If you feel you have the above average interpersonal skills and technical knowledge to be successful in this role, please send your details to gary@symescollins.com (including a contact number & email) however please note we cannot always reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission). 

 

ABOUT COMPANY
London, United Kingdom
Compliance / Legal
Ethical, Expert & Professional Recruitment by former Compliance Officers, specialising in AML & Financial Crime (including Anti Bribery & Corruption, ...
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