Head of Compliance – Asset Management

Responsibilities

• Develop, implement and maintain robust compliance framework, policies, and procedures.
• Providing regulatory advice and guidance to all parts of the division, including senior management.
• Manage a small team and provide coaching and mentorship.
• Oversee regular risk assessments, compliance reviews, and audits.
• Stay up-to-date with regulatory developments, industry trends, and emerging risks.
• Develop, review, and maintain Compliance policies, procedures and information to the business.
• Review and approve marketing material and presentations.
• Work in partnership with senior stakeholders across the business.
• Assist in the Compliance due diligence process for ACD’s and ManCo’s.
• Monitoring, recording, and dealing with complaints against the regulated firm(s).

Requirements

• Keeping up to date knowledge of regulatory developments at UK/EU level.
• Experience in reviewing and tracking relevant FCA consultations and other policy documents.
• Develop, implement and maintain robust compliance framework, policies, and procedures in accordance with relevant regulatory requirements.
• Providing regulatory advice and guidance to all parts of the division including the board/senior management.
• Manage a small team, provide coaching and mentorship to junior team members.
• Ensuring effective implementation of anti-money laundering and counter-terrorism financing (AML/CTF) measures.
• Oversee regular risk assessments, compliance reviews, and audits to identify and address any compliance gaps or weaknesses.
• Stay up-to-date with regulatory developments, industry trends, and emerging risks.
• Develop, review, and maintain Compliance policies, procedures and information to the business.
• Experience with regulatory returns submissions to all relevant authorities with particular emphasis on FCA returns.
• Have a good knowledge of topical and relevant regulatory regimes such as MiFID 2, Consumer Duty, UCITS, ICAV, GDPR, SMCR and Consumer Duty regulations.