Compliance & Legal Officer recruitment
Reporting into the COO (who will hold the 10 11 controlled functions), the successful candidate will be assume functional, day to day responsibility for all aspects of compliance for the organisation with a broad range of responsibilities including (but not limited to):
• Principal responsibility for ensuring best practice legal, regulatory and compliance framework is defined, implemented and actively managed
• Provide support to the organisation for all compliance and legal issues
• Act as primary point of contact with external counsel and advisors
• Provide regular internal updates in regards to compliance and regulatory change
• Maintain and proactively manage the pipeline of potential changes and the impact of these on the organisation
• Define and actively manage the business Risk Management Process
• Define and actively manage the business’ Investment and Operational compliance framework, to include pre and post trade compliance monitoring
• Responsible for maintaining and updating the compliance manual as appropriate
• Monitor and update processes and procedures in response to internal policy changes, as well as in response to broader regulatory change
• Controls and breach reporting to senior management
• Working with HR and senior management to implement appropriate staff compliance policies, ensuring the adherence of individual staff to these
• Work with HR to implement and run induction training and develop/implement an ongoing Training Development framework
• Carry out periodic reviews of administrators and external managers
• Provide input into the due diligence process for funds/external manager selection
Candidate Profile
• Very ‘hands-on’ compliance and legal specialist with direct experience of multi asset class Investments within a UK Investment Management environment
• Strong understanding of Regulatory and Compliance processes and how they operate across the Investment Process
• Demonstrable experience of the day to day running of a compliance function
• Ability to work as trusted advisor to the business
• Ability to communicate effectively and interact with senior management and investment professionals
• Effectively manage relationships with stakeholders and external advisors/counsel
• Direct working knowledge of the UK pension regulatory environment would be an advantage
• Likely to suit a talented and ambitious compliance and legal professional looking for a first step into management, or an experienced compliance and legal manager keen to be more directly involved in day to day business activity
In the first instance please either forward your details to giles.remmington@theimsgroup.co.uk or contact me for a confidential discussion on 0203 141 9635.