Head of Compliance
A boutique Fund Manager based in the heart of London's West End require an experienced Head of Compliance to join their growing and dynamic business. The role will hold both the CF10 and CF11. The company have an exemplary regulatory record, this role will be replacing a very well regarded Head of Compliance. The company are made up of 60 staff in their London office and are both FCA and SEC registered. This role manages a team of 2 analysts.
The company have 2 main funds covering Equities and Private Equity. The company have developed a very strong senior investment team and the company are steadily growing their AUM and the business as a whole.
Your key responsibilities will be as follows;
· To ensure compliance with the FCA Rules, including authorisation, permitted business, and Approved Person registration requirements, relevant SEC Regulations especially the Code of Ethics, as well as relevant Hong Kong SFC regulations
· To have overall responsibility within the firm for establishing and maintaining effective anti-money laundering (AML) policies, systems, procedures, controls, training and monitoring including carrying out AML awareness training for all staff at least annually.
· To maintain an up to date compliance manual and ensure that all employees are aware of the relevant procedures which must be followed for the proper discharge of their responsibilities.
· To review all financial promotion material, client agreements, and agreements with brokers.
· To be informed on current and prospective compliance and regulatory issues as they affect the Company
· To provide advice on the regulatory implications of new regulations and changes to the business profile.
· To develop and undertake periodic compliance monitoring on the basis of a risk-based compliance monitoring programme, in accordance with regulatory requirements and standard practice.
· To ensure that any compliance issues arising from compliance monitoring are reported, to the Board, resolved and documented.
The role offers a very unique opportunity to join a very vibrant and dynamic fund manager that offers an excellent working environment and a very generous compensation package with well above market average bonus potential on offer.
To find out more please call Stephen Borner at Hays on 02034650110.
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