Head of Compliance


Salary:

GBP100000 - 120000 / annum

Location:

London

Date Posted:

February 6, 2018

Employment Type:

Permanent

Job Reference:

06030-0010280140

Staffing Area:

Financial Services


Description

CF10 and CF11 providing oversight across the UK and Europe. You will manage the firm's European compliance program and drive compliance initiatives in support of European business.


Head of Compliance Cf10 Cf11

Asset Management

£100K-£120K

Tasks and Responsibilities

  • Establish, enhance and enforce compliance policies and testing procedures for the UK and Europe.
  • Monitor UK and Europe compliance initiatives as well as regulatory developments, identify and communicate relevant areas to management and ensure required changes are made to company policies and processes.
  • Provide compliance input to UK and Europe due diligence questionnaires, KYC enquiries, AML customer due diligence checks, RFPs, etc.
  • Prepare compliance manuals for UK and other European jurisdictions and coordinate, supervise and complete compliance ad hoc projects.
  • Develop and manage periodic monitoring program; maintain compliance registers for UK and European business.
  • Develop and maintain the AML programme for UK and Europe.
  • Liaise with the FCA and assist in preparing for and responding to inquiries and audits from FCA and European regulatory authorities.
  • Draft periodic management reports and required Gabriel data, regulatory reports and filings.
  • Review UK and European marketing materials and provide cross-border marketing advice.
  • Prepare training materials and provide in-person compliance training to staff in UK and Europe.
  • Oversight of personal account dealing and gifts policies, identify and deal with approved persons registrations, and variation of permissions.
  • Prepare and ensure the timely fulfilment/submission of compliance reports to senior management, the Board and regulatory bodies.
  • Prepare the firm for GDPR and SM&C and other upcoming regulatory requirements.

Skills and Experience

  • 6+ years experience in the regulatory or funds practice
  • Experience as a compliance officer at a private equity/alternative assets AIFM required.
  • Excellent knowledge of FCA regulations, AIFM Directives and FSMA.
  • Familiarity and experience advising on cross-border AIF marketing and distribution.
  • Proven ability to manage and lead all aspects of a compliance program, including setting policies, testing/monitoring, surveillance and reporting.
  • Experience preparing UK and European regulatory filings and interacting with regulators.
  • Strong organizational and project management skills with the ability to set, organize and meet priorities.
  • Excellent verbal and written communication skills with particular attention to detail; must be comfortable to communicate with senior management and the regulator.
  • Risk and control focused individual with excellent judgment.
  • Ability to work independently as well as with others in a small team environment.

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. By applying to this position, you acknowledge that you have read and accept the following terms: https://www.roberthalf.co.uk/privacy-statement



London

10th Floor, The Shard 32 London Bridge Street London, SE1 9SG 0207 389 6900
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