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Day to day management and oversight of the Compliance function for the FCA & SEC regulated firms in relation to all aspects of regulatory compliance, setting department's objectives, projects and follow up.
Indirect compliance oversight for the Irish ManCo and registered UCITs business.
Regulatory change - analysing consultation documents issued by FCA, ESMA, CBI, SEC, Treasury and other relevant bodies, and working with trade associations in relation to responding to policy initiatives and the implementation of EU directives.
Setting compliance policy and advising on compliance implications of strategic developments.
Ensuring that the firm's business is conducted in accordance with the relevant sourcebooks within the FCA Handbook, SEC and Central Bank of Ireland rules and best practice guidance issued by the regulators.
With MLRO, liaise with SOCA and Crime Prevention organisations.
Ensuring the company's compliance policies are up to date, that the UK group's compliance risks are regularly assessed (at least annually) and that the compliance monitoring programme is of sufficient depth and breadth to uncover control weaknesses and breaches of regulations and that appropriate changes are made following rule changes and new business developments.
Preparing compliance reports for Partners/Board and majority shareholder.
Overall responsibility for Liaising with regulators and auditors internal and external and Group Compliance on all compliance related issues.
You must be an experienced Compliance Practitioner with a successful track-record at deputy head level or head of compliance (CF10) within a medium to large UK regulated investment management firm. While an in-depth knowledge and sound understanding of UK regulatory regime with an understanding of CBI and SEC rules is required as important, will be a detailed knowledge of UCITS and AIF's as well as knowledge of MiFID regulated segregated portfolios. This role will be one of influence, responsibility, integrity and leadership so as such you will need not only to have the seniority and gravitas to be effective across all of these but also have demonstrated experience of upholding these values and being successful as a compliance leader.
This is an excellent opportunity to join a well-established business in a senior and influential role that for the right person will result in partnership in time. So if you believe you have the breadth of technical knowledge and self-drive to take ownership of this role then please contact Gary Collins on 020 7562 7400 or send your details to firstname.lastname@example.org
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Internal Number: 6090052
About Compliance Recruitment Solutions
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