Head of Compliance & MLRO (2 days per week)

THE COMPANY:

Our client is an asset and wealth management specialist. They are looking for a Head of Compliance & MLRO to join the London-based team on a part-time basis.

THE RESPONSIBILITIES:

• Continued development and implementation of a comprehensive compliance program, ensuring the business remains compliant with all relevant laws, regulations, and best practice
• Act as a primary point of contact for FCA and maintain a strong and effective relationship with the FCA.
• Oversight of AML and client onboarding policies, ensuring adherence to legal obligations and best practices
• Continuously monitor and assess the company’s exposure to regulatory risk, identifying areas for improvement and implementing appropriate controls.
• Review and update policies and procedures regularly.
• Conduct compliance audits and assessments.
• Stay up to date with regulatory changes and industry trends, ensuring that the compliance program evolves as necessary.

REQUIREMENTS:

• Be eligible to act as registered SMF16 and SMF17 (FCA)
• Have solid fund management compliance experience
• Have good knowledge of relevant UK and EU rules and regulations (including (UCITS, AIFMD, MIFID, EMIR).

For further information please contact Duncan Jeffery