Compliance Officer jobs in United States
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Compliance Director
Job summary
A financial services firm in the UK seeks a Compliance Director to oversee regulatory compliance and manage the Compliance team. This pivotal role involves ensuring adherence to FCA rules, providing detailed reports to governance committees, and engaging with regulatory authorities. The ideal candidate has a deep understanding of the asset management industry and strong leadership skills, with internal office work required three days a week.
Benefits
Qualifications
- Experience in the retail market in asset management.
- Proven experience as a Head of Compliance or similar role.
Responsibilities
- Cultivate a strong relationship with regulatory authorities.
- Ensure compliance with regulations and industry standards.
- Manage the Compliance team effectively.
- Provide detailed Compliance reports to governance committees.
- Design and execute the annual Compliance Plan.
- Stay updated on emerging regulations.
- Collaborate for cohesive risk management.
Skills
Education
Compliance Director Wealth Management
Our client operates in the financial services industry, focusing on wealth, asset, and fund management. They are committed to maintaining a culture of innovation, regulatory compliance, and client-centric services.
Our client is seeking a Compliance Director to support the CRO and Executive Committee in fostering a constructive dialogue with regulatory authorities. This role plays a strategic function in overseeing regulatory compliance frameworks, guiding business lines on regulatory matters, and collaborating with stakeholders to ensure adherence to standards and regulations.
- Cultivate a strong relationship with regulatory authorities, particularly the FCA
- Ensure the company operates in compliance with regulations and industry standards
- Lead and manage the Compliance team effectively
- Provide detailed Compliance reports to governance committees
- Design and execute the annual Compliance Plan
- Stay updated on emerging regulations and ensure timely implementation
- Collaborate with the wider Risk function for cohesive risk management
- Contribute to first-line projects and squads to maintain compliance
- In-depth understanding and practical knowledge of FCA rules impacting wealth and asset management - platform experience would be highly desirable
- Proficiency in legislation such as FSMA and MiFID II
- Experience in asset management, especially in the retail market
- Strong attention to detail with a broad business understanding
- Professional qualifications in Compliance are advantageous
- Proven experience as a Head of Compliance or similar role, including team management
Please note that you will be required to work in their offices 3 days per week. This role is paying six figures and is there is a highly competitive bonus.
If you possess the necessary skills and experience for this pivotal role, we invite you to submit your CV for consideration. Or alternatively, for more information, please contact Raj on removed) / (phone number removed)
* The salary benchmark is based on the target salaries of market leaders in their relevant sectors. It is intended to serve as a guide to help Premium Members assess open positions and to help in salary negotiations. The salary benchmark is not provided directly by the company, which could be significantly higher or lower.
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