Compliance Director

Maze Executive Search and Selection Ltd
London (Greater)
08 Nov 2017
16 Nov 2017
Contract Type
Full Time


  • To oversee and develop the Group?s Compliance strategy to meet the changing needs and requirements of group companies, within their regulatory requirements;
  • To oversee the Group?s Training and Competence Programme to meet the changing needs and requirements of the group companies, within their regulatory and commercial requirements and Service Level Standards;
  • To oversee completion and development of the Compliance Monitoring Plan and internal review schedules to ensure all necessary actions are being taken and to establish such additional processes and remedial training, as may be required;
  • To oversee the process for approval of financial promotions, intermediary information and standard letters, and have primary responsibility for compliance sign off of these documents;
  • To manage the relationships with law firms used for regulatory advice;
  • To manage the regulatory relationship with all potential and approved Appointed Representatives;
  • To recruit, manage and develop senior personnel for the Compliance and Training areas, dealing with HR issues, on job training and ongoing monitoring of efficiency and competence of personnel;
  • To develop and maintain an appropriate record keeping systems to allow appropriate monitoring of training and development of personnel, to identity issues and to meet commercial and regulatory requirements, in particular so that the companies can identify that they are treating customers fairly;
  • To review and update operational policies;
  • To establish, develop and monitor, as appropriate, systems, controls and procedures for the efficient working of all operational areas to meet the changing needs and requirements of the Company, within its regulatory and commercial requirements and its Service Level Standards.


  • Reports to the Board of MCG and the Boards of the operating companies;
  • Is line manager for the Head of Compliance.


  • Bi monthly Management Meetings;
  • Receipt of monthly MI
  • Production of monthly MI
  • Ad hoc reports to/from Board members
  • Ad hoc meetings, as required.

With Head of Compliance and Compliance team

  • Monthly Development meeting with Head of Compliance;
  • Monthly Compliance team meeting;
  • Other meetings on an ad hoc basis, as required.

Experience, Knowledge and Skills requirements

  • CF10, or locum, for a SME in the investment sector
  • At least 5 years senior management experience
  • Development and use of Management Information
  • Understanding of UK and EU regulatory requirements relevant to asset management sector
  • Understanding of structured investment products and structured deposits
  • Understanding of the scope of Senior Management Responsibilities
  • Essential aspects of risk management and corporate governance
  • Excellent interpersonal skills

Personal Attributes

  • High ethical standards of integrity
  • Ability to question intelligently, debate constructively, challenge rigorously and decide dispassionately
  • Ability to listen sensitively to the views of others, inside and outside the board
  • Commands the trust and respect of other board members
  • Promotes the highest standards of corporate governance

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