Head of Business Controls

Mason Blake; London; On-site; GBP 150,000 - 200,000; Full time

Job summary

An established industry player is seeking a dynamic Head of Business Controls to lead compliance and operational functions. This pivotal role involves ensuring adherence to regulatory standards, managing outsourced providers, and enhancing operational processes within a growing investment management boutique. The ideal candidate will bring over a decade of experience in compliance, particularly within buy-side firms, and demonstrate a strong understanding of trade operations and client servicing. This is a unique opportunity to make a significant impact in a thriving organization while working collaboratively with senior leadership to drive operational excellence.

Qualifications

• 10-15 years' experience in compliance at a buy-side firm.
• Strong knowledge of regulatory frameworks and operational functions.

Responsibilities

• Ensure compliance with ISAE 3402 and GDPR policies.
• Oversee outsourced providers and manage IT infrastructure.

Skills

Compliance

Operational Functions

Regulatory Knowledge (FCA)

Controls Audit

Trade Operations

Client Onboarding

Portfolio Accounting

Job description

Our client is a successful investment management boutique. Due to continued company growth and success, they are now looking to recruit a Head of Business Controls on a permanent basis.

Due to the nature of this role, candidates must have previous buy-side experience.

The Head of Business Controls will take responsibility for the following duties:

1. Compliance
   • Responsibility for business controls for compliance with a Type I and II ISAE 3402 / AAF 01/06 / AAF 01/20 report.
   • Ensure compliance monitoring meets all regulatory requirements.
   • Responsibility for GDPR Policies.
2. Oversight of Outsourced Providers
   • Performing due diligence on all outsourced providers and ensuring alignment with SLAs.
3. Oversee and manage the IT infrastructure of the firm.
4. In conjunction with the COO, ensure the smooth running of the operations function
   • Portfolio accounting.
   • Year-end reporting.
5. Enhance existing operational processes.
6. Represent the firm in operational due-diligence meetings.
7. Assist the COO with project work.

The Head of Business Controls must meet the following skill set:

1. 10 to 15 years’ experience in a compliance role at a buy-side firm, with exposure to operational functions (IT, trade support, and onboarding of new clients) at an asset management business.
2. Experience dealing with regulatory bodies such as the FCA.
3. Experience with both AIFs, including ICAVs and DSTs, and UCITS.
4. Experience in controls audit.
5. Establishing separately managed accounts.
6. Understanding trade operations and the trade order flow process.
7. Understanding and dealing with the servicing demands of sophisticated institutional investors.

This is a rare and exciting opportunity for a buy-side professional with strong compliance and operations experience to assume the role of Head of Business Controls.

If you believe your background meets the criteria, please apply with your CV. Note, only successful candidates will be responded to.

Mason Blake is an equal opportunities employer and welcomes applications regardless of sex, marital status, ethnic origin, sexual orientation, religious belief or age.

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