Head of Compliance SMF16

William Blake Group; Greater London; On-site; GBP 70,000 - 100,000; Full time

Job summary

A boutique asset manager is seeking an experienced Compliance Officer to ensure adherence to FCA, SEC, and EU regulations. This role involves maintaining compliance policies, overseeing risk management, and liaising with regulators. Ideal for a generalist compliance professional looking for a strategic role.

Qualifications

• 10+ years’ experience in compliance within asset management.
• Strong knowledge of FCA, SEC, and EU regulations.

Responsibilities

• Ensure compliance with FCA, SEC, and EU regulations.
• Maintain and update compliance policies and risk frameworks.

Skills

Compliance

Risk Management

Regulatory Knowledge

Job description

This range is provided by William Blake Group. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

Direct message the job poster from William Blake Group

Our client, a boutique asset manager, is seeking an experienced Compliance Officer to join the team. This role ensures compliance with FCA, SEC, and EU regulations, oversees risk management, and supports governance and reporting requirements. You will be responsible for maintaining and updating compliance policies, risk frameworks, and regulatory filings. In addition, you will liaise with regulators, external compliance advisors, and service providers.

Key Requirements:

• 10+ years’ experience in compliance within asset management.
• Strong knowledge of FCA, SEC, and EU regulations.
• Experience with investment trust companies and UCITS funds (preferred).
• Ability to interpret new regulations and implement necessary changes.

This is a great opportunity for a generalist compliance professional seeking a highly visible role with excellent exposure and the chance to contribute to strategic risk management.

For more information, please contact me at [e-mail]

Seniority level

• Director

Employment type

• Full-time

Job function

• Other

Industries

• Investment Management

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