Deputy Head of Compliance - Asset Management
GBP90000 - 115000 / annum
1st May 2019
Deputy Head of Compliance
Salary £95K-£115K + competitive benfits
- Ensuring processes, systems and controls in place to comply with FCA requirements
- Oversight of compliance for regulated entities in the UK
- Completion of FCA reporting and oversight of regulatory reporting in all jurisdictions
- Support the Head of Compliance in leading the compliance agenda across the business
- Support the Head of Compliance with the development, implementation and management of the Group's compliance policies and procedures across all jurisdictions
- Support Head of Compliance to ensure effective compliance training is in place for all staff
- Support Head of Compliance with the development and implementation of a risk based compliance monitoring programme
- Support Head of Compliance in the monitoring, interpretation, and analysis of existing and prospective regulatory requirements, and the implementation by the business of applicable regulatory changes
- Work with the compliance, business and risk teams to advise on, and address, compliance issues
- Review and assess compliance breaches and work with the business to remediate
- Support the Head of Compliance on all reporting requirements to internal and external stakeholders
- Support the Head of Compliance in providing risk and regulatory advice in each jurisdiction in which the firm operates and support successful license applications in new jurisdictions in line with Business plan.
- Support the Head of Compliance in managing and regularly reviewing all third party service providers
- Manage compliance team to ensure that individuals in the team are engaged and developing within each of their roles.
- Experience at a senior level in the Compliance team of an FCA-regulated business
- Hands on knowledge of FCA regulatory returns and reporting
- Experience writing and implementing Compliance policies and procedures
- Practical knowledge on sign off for financial promotions
- Detailed working knowledge of UK compliance requirements.
- Good working knowledge of AIFMD, MiFID II, Financial Crime related requirements, SMCR, GDPR
- Good working knowledge of investment management.
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