Head of Compliance - Asset Management

ZipRecruiter; London; On-site; GBP 50,000 - 70,000; Full time

Job summary

A leading company in London seeks a compliance officer to ensure adherence to FCA, EU, and SEC regulations. The role involves conducting compliance analyses, preparing regulatory submissions, and maintaining policies for continuous improvement. The ideal candidate will have strong knowledge of compliance frameworks and risk management practices.

Qualifications

• Experience with FCA, EU, and SEC regulations.
• Ability to conduct compliance monitoring and audits.

Responsibilities

• Conduct analysis of policies and processes to identify compliance gaps.
• Prepare and submit FCA returns and SEC updates.
• Implement Consumer Duty regulatory framework.

Skills

Compliance

Risk Management

Regulatory Frameworks

Job description

Job Description

Conduct a thorough analysis of organisational policies, processes, and controls to identify and address compliance gaps.

Maintain compliance with FCA, EU, & SEC regulations.

Ensure the firm is aware of and compliant with the new CCI regime when it comes into effect.

Provide oversight and support to the first line of defence regarding risk management.

Actively participate within the senior/executive management committee.

Prepare and submit FCA returns via RegData and Connect, and submit FCA event-driven reporting as required.

Prepare and submit the Annual Form ADV to the SEC, along with other updates as needed.

Implement and ensure policies are in place for continuous improvement of the firm’s compliance practices.

Liaise with external service providers as needed.

Maintain, review, and develop policies and procedures to ensure compliance with evolving regulations and business demands, updating them at least annually.

Liaise with external compliance advisors regarding quarterly monitoring visits and expert advice.

Conduct periodic compliance monitoring, including best execution, dealing errors, cross trades, and breach register maintenance.

Monitor staff compliance, including personal account dealing, declarations, gifts & entertainment, political contributions, training, and job descriptions.

Oversee new staff compliance inductions and approve new brokers.

Research new regulations and advise on their impact on the firm.

Implement the Consumer Duty regulatory framework within the firm’s operations, policies, and procedures.

Maintain public disclosure items such as UK Stewardship Code, Shareholder Rights Directive, and MIFIDPRU 8 (remuneration).

Ensure awareness and compliance with UK SDR rules and EU SFDR rules.

Review and approve the distribution of marketing materials across jurisdictions, maintaining accurate records.

Ensure systems are in place to capture reverse solicitations and outcomes.

Participate in initial and ongoing client due diligence visits and annual reviews of external service providers.

Attend ITC client board meetings as required.

Review and update the risk matrix quarterly, aligning with changes in the firm’s business, and develop risk management systems with the Operations Team.