Chief Compliance Officer | Investment Manager

ZipRecruiter; England; On-site; GBP 80,000 - 120,000; Full time

Job summary

An established industry player is seeking an experienced regulatory professional to step into the role of Chief Compliance Officer. This pivotal position involves leading a small team and advising the Board on critical compliance and regulatory matters. As the interface with the FCA, you will develop strong relationships while managing regulatory reporting and ensuring compliance with key regulations such as FCA, AIFMD, and MiFID II. Join this agile firm at a time of growth and expansion, where your expertise will play a crucial role in navigating the regulatory landscape and supporting new business initiatives.

Qualifications

• Significant experience as a Chief Compliance Officer or senior compliance professional.
• In-depth knowledge of FCA regulations, AIFMD, and MiFID II.

Responsibilities

• Advise and report to the Board on compliance and regulatory matters.
• Manage all regulatory reporting and filings.

Skills

FCA regulations

AIFMD

MiFID II

SEC compliance

CFTC compliance

analytical skills

problem-solving

communication skills

Job description

Job Description

We are partnering with a leading investment manager to find an experienced regulatory professional to take on the role of Chief Compliance Officer and lead a small team.

This is an excellent opportunity to join a well-established yet agile firm, highly regarded in the industry, at an exciting time of growth and expansion.

Duties will include:

• Advise and report to the Board on compliance and regulatory matters, ensuring that they are kept updated of key regulatory risks, processes and developments
• Be the interface with the FCA developing strong working relationships
• Responsibility for SEC and (to the extent applicable) CFTC/NFA compliance and reporting
• Managing all regulatory reporting and filings
• Monitoring and managing potential conflicts of interest, including key controls around MNPI, MAR and Expert Networks
• Provide real-time advisory compliance support as well as regulatory guidance in relation to new business initiatives
• Drafting and updating, policies and procedures
• Identify regulatory changes in relevant jurisdictions and take the lead on implementing changes as required, proactively respond to business changes;
• Assisting with the ongoing compliance with the Senior Managers and Certification Regime;
• Assisting with the review and approval of all marketing prospects, typically in the UK, US and Europe.

Skills and Qualifications:

• Significant experience as a Chief Compliance Officer or senior compliance professional within a buy-side institution, preferably with some credit exposure.
• In-depth knowledge of FCA regulations, AIFMD, and MiFID II. Familiarity with U.S. regulations (SEC and CFTC) would be advantageous.
• Knowledge of existing and new regulatory requirements and frameworks
• Strong attention to detail, analytical and independent thinker and problem-solver
• Proactive and organized, with an ability to work concurrently on multiple work streams
• Ability to effectively communicate and cooperate with a diverse range of people and work a team oriented environment