Head of Compliance

THE COMPANY:

Our client is a leading provider of services supporting emerging fund managers and investment firms.

THE RESPONSIBILITIES:

• Compliance and MLRO responsibilities:

1. Monitoring;
2. ICARA;
3. SYSC and MLRO reports;
4. Supervise KYC;

• Work with COO to develop and implement control systems
• Financial Promotions for Funds and Clients.
• Funds: obligations under fund agreements; and Onboarding Committee.
• Client Reviews: Interim and Final.
• Marketing: Pipeline development.

EXPERIENCE REQUIRED:

• Candidates must have Appointed Representative experience
• Fund/Asset management background
• This will be a key hire for someone to develop the company’s systems, business and profitability.

For further information please contact Duncan Jeffery