Chief Compliance Officer

Fasanara Capital; London; On-site; GBP 80,000 - 150,000; Full time

Job summary

An established industry player is seeking a Chief Compliance Officer to lead compliance initiatives in a dynamic asset management firm. This role requires a seasoned professional with extensive experience in navigating complex regulatory environments, particularly within the UK financial services sector. As a key member of the executive team, you will develop and implement a robust compliance framework, ensuring adherence to regulations while anticipating future changes. This is an exciting opportunity to influence the compliance culture and contribute to the sustainable growth of the organization, all while working in a vibrant and collaborative environment.

Benefits

Competitive bonus scheme

Bupa health & dental

Cycle to Work scheme

Enhanced pension

Generous annual leave

Enhanced parental leave

Regular team events

Quarterly town halls

Team lunches and dinners

Friday drinks

Qualifications

• 15 years of experience in compliance with a deep understanding of regulatory frameworks.
• Strong background in UK-FCA compliance and regulatory affairs.

Responsibilities

• Lead compliance function and manage operations to ensure effective compliance team.
• Oversee regulatory filings and ensure compliance with UK regulations.

Skills

Compliance Leadership

UK Regulatory Expertise

Alternative Investments Knowledge

Digital Assets Familiarity

Strategic Vision

Education

15+ years of compliance experience

Experience in UK-regulated financial firm

Job description

We are seeking an exceptional Chief Compliance Officer (CCO) to join our dynamic and rapidly growing asset management firm. The ideal candidate will be a seasoned compliance professional with a proven track record in navigating complex regulatory environments, particularly within the UK financial services sector. As a key member of our executive team, you will be responsible for developing and implementing a robust compliance framework that not only meets current regulatory requirements but also anticipates future changes in the regulatory landscape.

Responsibilities

1. Compliance Leadership and Team Development: Lead and enhance the compliance function, managing day-to-day operations while fostering the growth and development of team members to ensure a strong and effective compliance team.
2. Senior Compliance Roles: Serve as Chief Compliance Officer (CCO), holding SMF16 and SMF17 designations in a UK regulated financial firm, demonstrating expertise in senior compliance leadership.
3. Professional Network Utilisation: Leverage and expand a robust network of advisors to access expert guidance and strategic insights when needed, ensuring informed decision-making.
4. Alternative Investment Expertise: Apply comprehensive knowledge of Alternative Investment Funds, particularly those based in Luxembourg and the Cayman Islands, to navigate complex regulatory environments.
5. Digital Assets Expertise: Demonstrate familiarity with virtual/crypto assets, tokens, and MiCA regulations to support the company's innovative initiatives and stay ahead of emerging trends.
6. Regulatory Filings Oversight: Oversee all regulatory filings for both the Company and the Funds, ensuring accuracy and compliance with relevant regulations.
7. SMF Roles with FCA: Assume the SMF16 (Compliance Oversight) and SMF17 (MLRO) roles with the FCA, ensuring compliance with UK regulatory requirements.
8. Global Compliance Support: Support the firm on all UK and global compliance initiatives, engaging with international regulatory bodies such as SEC (USA), NFA (USA), CSSF (Luxembourg), ADGM (Abu Dhabi), MISA (Saudi Arabia), RBI (India), Bank of Italy, and others as required.
9. Organizational Growth and Strengthening: Continuously grow and strengthen the organization, focusing on regulatory compliance, oversight, and risk management to ensure sustainable growth.
10. Cross-Jurisdictional Compliance: Ensure regulatory compliance across all jurisdictions as the organization expands, maintaining the highest standards of ethical business practices and compliance.
11. Compliance Strategy Alignment: Collaborate with senior leadership to align compliance strategies with overall business objectives, fostering a culture of compliance throughout the organization.
12. Regulatory Landscape Monitoring: Stay informed about evolving regulatory landscapes, particularly in the UK and EU, to proactively address compliance challenges and opportunities, ensuring the organization remains compliant and competitive.

Requirements

1. Proven Compliance Expertise: A seasoned professional with at least 15 years of experience in compliance, demonstrating a deep understanding of regulatory frameworks.
2. UK Regulatory Expertise: Strong background in UK-FCA compliance and regulatory affairs, with a comprehensive grasp of relevant laws and guidelines.
3. Senior Compliance Leadership: Experience as a Chief Compliance Officer (CCO) with current or recent roles as SMF16 and SMF17 in a UK regulated financial firm, ensuring familiarity with senior management responsibilities.
4. Asset Management Experience: Proven track record in a UK-regulated asset management firm of similar scale (100-150 employees / 4-10 billion AuM), offering insights into operational complexities and regulatory requirements.
5. Professional Network: Possession of a robust network of advisors, enabling access to expert guidance and strategic insights when needed.
6. Alternative Investments Knowledge: In-depth understanding of Alternative Investment Funds, particularly those based in Luxembourg and the Cayman Islands, highlighting expertise in complex financial structures.
7. Digital Assets Familiarity: Familiarity with virtual/crypto assets, tokens, and MiCA regulations, providing a competitive edge in emerging financial technologies.
8. Strategic Vision: A strategic thinker capable of enhancing existing compliance policies, procedures, and infrastructure while implementing scalable structures to support the safe expansion of our global organization.

Benefits

• Competitive bonus scheme
• Bupa health & dental, Cycle to Work scheme, enhanced pension, and generous annual leave
• Enhanced parental leave, special leave allowances, and charity giving options
• Regular team events, legendary summer & Christmas parties, knowledge sharing sessions, and quarterly town halls
• Team lunches, dinners, Friday drinks, team sport activities