Head of Compliance

THE COMPANY:

Our client is a global Wealth/ Asset Management Group (mainly covering Real Estate and Infrastructure Debt).  They are seeking a Head of Compliance to lead the UK Compliance function

THE RESPONSIBILITIES:

• Holding the SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) FCA approved functions
• Monitoring all matters regarding Financial Crime, Market Conduct, Conflicts of Interests, Anti-Bribery and SMCR;
• Working closely with and providing support to the UK Senior Management, as well as other individuals in the business ;
• Reporting on Compliance matters to the UK Management and the Group Compliance Function;
• Ensuring that AML risk assessment is conducted in line with applicable regulation and Group standards and providing sign off for clients and investments;
• Reviewing financial promotion and ensuring that local rules of distribution are complied with, including on a cross-border basis;
• Implementing the Compliance Monitoring Program and ensuring that it remains fit for purpose;
• Conducting regulatory watch and maintaining the Compliance Manual and other policies and procedures up-to-date;
• Ensuring that all UK staff receive appropriate compliance trainings on a regular basis;
• Liaising with colleagues internationally.

EXPERIENCE REQUIRED:

• French language skills highly desirable.
• The successful candidate will have 5 years’ experience in a Senior Compliance role for asset management businesses and will have good knowledge of the UK and the EU regulatory framework. Previous experience as a Compliance Oversight/SMF16 desired.
• It is essential that the successful candidate has a good understanding of Luxemburg and other EU funds set up in order to engage with the EU AIFM that the firm works with.
• The candidate must be eager to learn and have a willingness to take on a challenging and diverse workload, placing importance on long-term solutions and developing strong working relationships.

For further information please contact Spencer Evans