Head of Compliance SMF16 and 17 - Asset Management

Location: London (Hybrid Working Arrangements)
Excellent Salary and Benefits on offer (dependent upon experience)

Are you a seasoned Compliance professional with a robust background in Asset Management? Do you excel in roles where you can drive meaningful change and ensure regulatory excellence? We are looking for a proactive and influential Head of Compliance to lead our dynamic team in London.

This is a rare opportunity to lead compliance initiatives within a prestigious mid-sized, fast growing and well backed Asset Management firm.

The Role: As Head of Compliance, you will hold a critical position in ensuring regulatory adherence and implementing best practices within our Asset Management operations. Your responsibilities will encompass:

• Developing, implementing, and refining compliance policies and procedures tailored to Asset Management.
• Conducting comprehensive compliance risk assessments and overseeing regulatory reporting.
• Providing expert guidance to senior management on compliance matters related to investment strategies and fund operations.
• Collaborating closely with portfolio managers and investment teams to embed compliance controls into investment processes.
• Leading regulatory audits and inspections, ensuring proactive and effective responses.
• Staying abreast of evolving regulatory landscapes impacting Asset Management and spearheading necessary adjustments.
• Serving as a pivotal liaison with regulatory authorities and external compliance consultants.

Requirements:

• Extensive experience (10+ years) in senior compliance roles with a specific focus on Asset Management, ideally across diverse investment strategies.
• Proven track record of successfully implementing and managing compliance frameworks and controls.
• In-depth knowledge of FCA regulations and guidelines relevant to Asset Management firms.
• Exceptional leadership and communication skills, with the ability to influence stakeholders at all organizational levels.
• Meticulous attention to detail coupled with a hands-on approach to compliance management.
• Previous experience within mid-sized, rapidly growing Asset Management firms highly preferred.
• Must have held Senior Management Function (SMF) 16 (Compliance Oversight) and/or SMF 17 (Money Laundering Reporting Officer) roles.

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