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Head of Compliance -Fund Manager -South West of England
CF10 & CF11 with FCA & SEC experience
What's on Offer
A competitive package on offer
Where specific UK qualifications are required we will take into account overseas equivalents. All third party applications will be forwarded to Michael Page.
Ref Code: MPEF13862136Z
The Successful Applicant
Educated to degree level or equivalent Ideally with experience of holding the CF10/11 Asset management exposure Experience with dealing with external regulators Strong communication skills - both written and verbal Team player but who also carries sufficient authority and independent minded when required Comfortable presenting to the business and working in a standalone compliance role Able to multi-task and take responsibility for ad-hoc projects Someone who can demonstrate a track record of achievements
About Our Client
Fund Manager based in Bristol.
Responsibilities will include but not be limited to the following:
Head up Compliance, Money Laundering and Risk functions reporting to the Board Design and perform compliance and risk monitoring programme, resolving any issues arising Maintain Compliance Manual and compliance related registers and records Review and advise on operating procedures to ensure compliance issues covered Review significant changes to operating procedures before implementation Prepare and present notes to train each business area on compliance matters Offer advice to colleagues on regulations, in layman terms Keep abreast of regulatory developments and ensure the firm remains compliant at all times