Head of Compliance - Top Asset Manager

London (Central), London (Greater)
£115000 - £130000 per annum + competitive
16 Jul 2014
13 Aug 2014
Ryan Graham
Contract Type
Full Time

Head of Retail & Institutional Compliance - Asset Manager

A leading International Investment Management firm with record profits this year is seeking a Head of Retail & Institutional Compliance in their London office as the firm plans to expand their operations across Europe, America and Asia. Reporting to the Global Head of Compliance, this is an exciting opportunity for you to advance your career within an industry leading team providing advice, leadership and direction in respect of all distribution activities.

Key Responsibilities:

  • Be the lead compliance officer supporting product developments, including cross border management and distribution issues relating to UK and European funds.
  • Manage the Retail & Institutional Compliance team so they can provide an effective assurance function covering all activities falling under the Global Head of Distribution
  • Be the lead compliance officer for retail joint ventures attending boards and all governance committees.
  • Support the Global Head of Compliance in reporting on distribution matters to senior committees and boards, product boards and in all communications with the FCA or other regulators in respect of retail products or distribution activity generally.
  • Advise on the continual development of appropriate procedures to manage and mitigate regulatory risk
  • Keep abreast of new regulatory developments and rules, assess their impact and ensure appropriate action is taken; in particular developments relating to:
  • Product Life Cycle and TCF initiatives
  • UCITS V and ESMA Guidance
  • Retail Distribution Review
  • Packaged Retail Investment Products (PRIPS)
  • AIFMD (marketing & disclosure aspects)
  • Client Money
  • Monitor, assess and report on business conduct and adherence to applicable regulations;
  • Manage external relationship with regulators
  • Provide relevant training on regulatory issues which may have an impact on the business.
  • Embed a culture of treating customers fairly and client centricity in a client-led and client focused business.
  • Ensure that Compliance policies and procedures are updated to meet the needs of distribution teams and when regulatory changes arise.


  • Ideally 7+ years experience in compliance with good working knowledge on systems and control rules, conflicts, financial promotions and private placements, inducements and the retail distribution review, retail product development and TCF, UCITS and AIFMD and client money.
  • Experience in industry working for a blue chip asset management firm is desirable, as is someone with regulatory / consultancy background

Salary - £115,000 to £130,000 (with industry leading package)

Location - City

This is a great chance to make your stamp within a highly successful firm who are on a significant journey of growth. If you are interested in applying, please send a copy of your CV in Word format highlighting your relevant experience to Ryan Graham at r.grahamatrealstaffing.com