Head of Compliance (Asset Management)

Highams Recruitment
£ 80 K - £ 120 K
16 Feb 2017
16 Mar 2017
Contract Type
Full Time
Your role will be to provide regulatory and technical advice and expertise on all compliance issues relating to Asset Management.

You will be expected to identify existing and emerging regulatory and compliance risks and ensure they are appropriately managed. You will also be responsible for providing compliance advice and day-to-day compliance oversight to the business.

As CF10 you will quickly need to build an understanding of the key compliance risks relating to and work closely with our Central Compliance and Compliance Monitoring functions to co-ordinate and align responsibilities in order to provide an effective compliance service to the Asset Management business.

Success in this role will be measured through your ability to ensure that regulatory requirements are clearly defined and implemented throughout in a manner that is proportionate and cost-effective, that new regulatory compliance requirements are implemented when due, that regulatory risk to is minimised through maintenance of robust systems and controls; minimising the likelihood of material FCA rule breaches occurring; and that we receive satisfactory outcomes of any reviews initiated by the FCA.

The size of the firm provides for an interesting and varied role which requires a hands on approach and interaction with the wider UK group.

You will report to the CEO and be directly responsible for managing the Compliance Team
(currently 1 other member).

Skills and experience

Successful candidates are likely to demonstrate the following:

Extensive financial services industry experience, preferably within Asset Management
Degree level (preferred)
Professional Compliance/Regulatory Qualification (or related Industry Qualification e.g. Post Graduate Diploma/Diploma in Compliance or Investment Management Certificate/Chartered Financial Analyst)
Extensive experience in a senior level Compliance role (in-house or consultancy).
Proven record of working in accordance with all regulatory, compliance and conduct risk policies.
Proven experience of contributing to strategy and operational plans in a regulated environment.
Direct experience of dealing with the FCA
Mentoring/coaching staff
Proven understanding of the regulatory environment, particularly FCA systems & controls and conduct of business regulation (especially suitability).
Strong appreciation of Compliance and Conduct Risk and how these are embedded within a business.
Highly Ethical and principled, analytical and diligent.
Self-motivated, well organised and proactive.
Good communication skills.