Our client is a leading Fund Manager who are seeking to appoint a Head of Compliance who will act as the firm’s Compliance, Money Laundering and Data Protection Officer. Reporting directly to the Board of Directors, the successful candidate will be responsible for directing and controlling the company’s compliance activities, overseeing the company’s risk framework and contributing to the development of the company in a compliant manner.

Key responsibilities include:

• Management of the company’s compliance function to ensure the company meets all regulatory requirements and guidance through the review of existing processes, procedures and controls and enhancing or implementing changes where required;

• Completion of all GABRIEL, CONNECT and other regulatory reporting;

• Act as the first contact point for the Financial Conduct Authority, and other government bodies e.g. the FOS;

• Staying up to date and providing day to day advice and guidance to the business on technical compliance matters relating to the sector

• Review the appropriateness of the company’s Compliance Monitoring Plan for the business which includes regulatory reporting, sampling and returns and provide the Board with regular updates on the same;

• Provide reports where necessary to the wider group, including a Compliance Report directly to the Board of Directors;

• Provision of education and training for sales, administration, marketing, finance on key regulatory matters and contribute where required during the company’s audits and reviews;

• Ensure all annual and ad hoc regulatory reporting obligations are satisfied and completed by their due date;

• Conduct compliance risk assessment processes to detect process gaps and inconsistencies;

• Support and assist the business in the development and sign off new investment products;

• Ensure all responsibilities as Data Protection Officer are carried out within a timely manner;

• Carry out responsibilities as Money Laundering Reporting Officer, as required by the company, legislation and FCA Handbook;

• Co-ordinate the company’s approach to risk, manage the Risk Register, and be a member of the Risk Committee;

• Co-ordinate the company’s approach to conflicts of interest, manage the Conflicts Register and be a member of the Conflicts Committee; and

• Manage the workload of the Compliance Department and be responsible for the management and personal development of compliance staff.

The Person:

• A minimum of 5 years’ compliance experience in the Financial Services Industry and exposure to dealing with Regulators with confidence;

• Educated to degree level and a suitable relevant qualification. Holding a relevant AML/CFT qualification would be a distinct advantage;

• Knowledge of investment management and in particular Alternative Investment Funds and the Alternative Investment Fund Managers Directive as implemented in the UK;

• Strong Technical Compliance and Risk Management knowledge including but not limited to the FCA Handbook, AML/CFT, GDPR;

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

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