Our client is an asset and wealth management specialist. They are looking for a Head of Compliance & MLRO to join the London-based team.
This is a great opportunity for someone to step up in to ‘Head of’ role.
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
