Overview
Seeking an experienced compliance professional to lead and manage day-to-day compliance. As the Head of Compliance you will take the lead on compliance standards and improve and monitor regulatory controls and ensure compliance maintains a high-quality client outcomes.
Key Responsibilities:
- Develop and maintain regulatory compliance policies and procedures, to ensure the highest standards in line with investment management regulatory obligations and expectations, including but not limited to the requirements of MiFID, SMCR, CASS and Consumer Duty.
- Provide 2nd line challenge and oversight to Investment teams, including performing pre- and post-trade surveillance.
- Provide compliance advice and guidance to the business on regulatory requirements and impact of these requirements, as well as regulatory change to ensure they are understood and consistently embedded
- Review and challenge best execution and transaction reporting
- Ensure appropriate systems and controls are in place to achieve the company’s strategic goals and protect its clients
Experience & Qualifications:
- Previous experience of working in a Senior Compliance role within the Investment/Asset Management sector, including discretionary investment management and investment funds.
- Excellent understanding and knowledge of all relevant regulatory rules, in particular, MIFID, COLL, PROD and Consumer Duty rules.
- Experience of leading and managing teams
- Investment Management Compliance qualification preferred
