Director - Asset Management Compliance

ZipRecruiter; London; On-site; GBP 90,000 - 130,000; Full time

Job summary

A leading international asset management firm is seeking a Director to oversee its compliance department. The role involves providing governance, operational control, and regulatory expertise, supporting compliance programs, and fostering a culture of risk management. This position requires strong stakeholder management and the ability to implement best practices in compliance.

Qualifications

• Experience in regulatory compliance and risk management.
• Strong stakeholder management skills.

Responsibilities

• Provide governance and operational control for IAM activities.
• Support the Regulatory Compliance Management Program.
• Promote a culture of compliance and risk management.

Skills

Governance

Regulatory Compliance

Risk Management

Job description

Our client is a leading international asset management firm seeking a Director to oversee the compliance department.

Accountabilities:

1. Provide governance, operational control, and regulatory expertise to support IAM activities.
2. Support the Regulatory Compliance Management (RCM) Program, including maintaining the regulatory library, designing controls, monitoring, and managing regulatory changes.
3. Promote a culture of compliance and risk management aligned with the company's risk appetite.
4. Maintain strong relationships with internal stakeholders.
5. Stay informed on business trends, risks, and control issues to protect the business interests.
6. Foster a risk-aware culture supported by policy and process development.
7. Serve as a governance contact for Third-Party Distributors as needed.
8. Prioritize and implement best practices and improvements.
9. Lead remediation efforts for control gaps and assist in action plan development.
10. Communicate relevant issues timely to stakeholders and foster good relationships.
11. Support marketing review processes, including RFPs, RFIs, and website governance.
12. Guide the business on operational and regulatory risk, control, and change management activities.
13. Advise stakeholders on governance and regulatory requirements across various activities.
14. Manage change governance with the Asset Management Business Governance and Portfolio Oversight team, representing the organization as a subject matter expert.
15. Oversee the implementation of a sustainable Supervision Framework for effective oversight.
16. Chair the International Asset Management Policy Oversight Committee.
17. Support projects and initiatives with RPG support.
18. Coach and mentor colleagues supporting IAM activities and operations.