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Head of Compliance

  • Location: London
  • Salary: £130,000-£140,000 per year
  • Job Type:Permanent

Posted 15 days ago

  • Sector: Compliance
  • Contact: Edward Manson
  • Contact Email:
  • Contact Phone: 0203 637 1601
  • Expiry Date: 10 June 2024
  • Job Ref: EM/11595(LON)

MERJE are working with a well established Investment manager in their search for a Head of Compliance.

The Head of Compliance will be responsible for compliance with all applicable FCA & SEC regulations.

  • Provision of technical advice, support & regulatory guidance

  • Development & completion of the annual compliance monitoring programme

  • Ensuring that the company identifies any changes in law and regulation by horizon scanning

  • Review and implementation of compliance policies & procedures

  • Projects including implementing new regulation, advising on new investments or researching specific legal or regulatory queries from the wider business

  • Compilation and submission of regulatory reporting through Regdata, Connect, FINRA etc

  • Ownership of the AML program

Experience needed:

  • 8-10 years of relevant and broad compliance experience gained in a fund or investment management environment

  • Strong interpersonal and relationship building skills including the ability to interact with and influence at all levels of an organization

  • Excellent written and oral communication skills

  • Previously operated as SMF16 (preferred)