Head of Compliance

Recruiter
Ezek Talent Management
Location
London, UK
Salary
Competitive
Posted
13 Sep 2019
Closes
26 Sep 2019
Ref
1253075629
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
Head of Compliance (Investment Management)

Outline of Main Tasks
  • Assuming CF10 & 11 controlled functions within the business
  • Responsible for ensuring the business has effective systems, procedures and controls for compliance with requirements and standards under the regulatory system, including risk management, governance, Anti-Money Laundering and Data Protection
  • Reporting to the Boards, both operating company and Group
  • Maintaining effective relationship with regulatory bodies
  • Ensuring all notification and reporting requirements are met
  • Maintenance of documented and effective compliance procedures consistent with internal standards, business goals and attitute to risk

Qualifications
  • At least to degree level
  • CISI IOC qualification or equivalent
  • Ideally achieved or working towards CISI Diploma or equivalent

Skills & Competencies
  • Current or recent FCA Approved person status
  • At least 10 years experience of risk, compliance and governance monitoring in a regulated financial services environment, ideally within an investment management business.
  • Excellent inter-personal and communications skills

Location: Exeter, Bournemouth or London

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