Head of Compliance - Asset Management
Consultant Peter Jecks
Date posted 26 February 201811 Slingsby Place, St Martin's Courtyard London, WC2E 9AB Robert Walters United Kingdom
A boutique Compliance consultancy is looking for a Compliance professional to join as a Head of Compliance - Asset Management. They are looking for someone with good knowledge of UK regulations in the Asset/Investment Management space (particularly AIFMD and MIFID), and excellent interpersonal and problem solving skills.
A rapidly growing London-based Asset Management Compliance consultancy is looking for a compliance professional to join and head up the team of 5 people. They are looking for someone with good knowledge of UK regulations in the Investment Management space (particularly AIFMD and MIFID), and excellent interpersonal and problem solving skills.
You will be reporting directly into the CEO. This is a terrific opportunity for anyone that is looking to utilise their compliance experience and be a key part in an entrepreneurial environment.
Head of Compliance - Asset Management key responsibilities:
- Leading a team of 5 Consultants to provide advisory and other Compliance services to external clients
- Representing the consultancy externally to create new client relationships and maintain existing ones
- Assisting in policy development around client’s Compliance Programs which include but are not limited to SEC, OCC and FCA regulations as well as surveillance of trading and marketing activity for compliance with FCA and other relevant rules and regulations
- Assisting in any ad-hoc consulting or internal development projects as necessary
Head of Compliance - Asset Management experience:
- Experience of compliance work in investment management under FCA regulation.
- Good working knowledge of the UK regulatory environment and how FCA requirements apply to asset management lines of business.
- Previous knowledge of AIFMD, MiFID and the FCA Handbook.
- Management or mentoring experience is preferable
If you are interested in this role, or know anyone who might be, please contact Joe Johnston on email@example.com / 0207 509 8489 or Peter Jecks on firstname.lastname@example.org / 0207 509 8064