Head of Compliance

Compliance Professionals; City Of London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading compliance service provider in the UK is looking for a candidate to oversee compliance and MLRO responsibilities, develop control systems, and manage client reviews. The ideal candidate will have Appointed Representative experience and a background in fund management to enhance the company’s systems and profitability. This key position promises a dynamic work environment and significant responsibilities.

Qualifications

• Must have Appointed Representative experience.
• Fund/Asset management background required.
• Experience in developing control systems essential.

Responsibilities

• Oversee compliance and MLRO responsibilities.
• Work with COO on control systems implementation.
• Manage financial promotions for funds and clients.

Skills

Compliance oversight

Monitoring

Client reviews management

Pipeline development

Job description

THE COMPANY:

Our client is a leading provider of services supporting emerging fund managers and investment firms.

THE RESPONSIBILITIES:

• Compliance and MLRO responsibilities:
  1. Monitoring;
  2. ICARA;
  3. SYSC and MLRO reports;
  4. Supervise KYC;
• Work with COO to develop and implement control systems
• Financial Promotions for Funds and Clients.
• Funds: TFI obligations under fund agreements; andOnboarding Committee.
• Client Reviews:Interim and Final.
• Marketing: Pipeline development.

EXPERIENCE REQUIRED:

• Candidates must have Appointed Representative experience
• Fund/Asset management background
• This will be a key hire for someone to develop the company’s systems, business and profitability.

For further information please contact Duncan Jeffery