Head of Compliance - Fund Compliance - Investment - AIFMD
Head of Compliance - Fund Compliance - Investments - AIFMD
My client is a multi-award winning Investment Consultancy. The business supports some the world’s largest investment banks and buy-side firms with fund compliance and many other services.
They are currently looking to hire a Head of Compliance to take over from one of the current Partners who is holding the role.
The business has been growing significantly over the last 2 years and they now need a dedicated Head of Compliance. Below is an overview of the responsibilities.
- Oversee the internal compliance framework including policies and procedures of the firm
- Lead and help grow a compliance department of 20+ members
- Provide insight into and maintain knowledge of key regulatory topics within AIFMD, MIFID and UK FCA regulations
- Find practicable compliance solutions on a variety of regulatory thematic topics with the help of external regulatory law firms
- Work closely with Managing Partners to oversee reviews of relevant legal documents as part of AIFMD entity setups (Investment Manage Agreement, Advisory Agreement, etc)
- Provide final sign off for Financial Promotions (offline, online) and approval of controlled functions individuals (CF30, CF11, etc)
- Collate compliance requests from the service delivery team and articulate issues for discussion and resolution within the compliance committee
It is ESSENTIAL you have managed teams in the past and you have a firm grasp of the AIFMD regulation and how to apply it practically.
Please get in touch to be considered.