Head of Compliance

We are working exclusively with a successful Investment Management firm who are looking for a Head of Compliance (SMF16/17) to report directly into the board. The role holder will be responsible for the independent oversight and management of the Compliance function across the business.

Key Responsibilities:

• Effectively communicating and building relationships with the regulator, trustee and custodian;
• Providing advice to the firm regarding the conformity of its business activities in relation to regulatory requirements and best practice;
• Establishing, implementing and maintaining policies and procedures sufficient to support the firm’s compliance with its regulatory obligations
• The ongoing assessment and reporting of the adequacy and effectiveness of the controls in place to comply with regulatory obligations, and to address any identified deficiencies;
• Identifying, assessing and presenting on regulatory change to the Executive Committee and the Board;
• Investigating, managing and conducting root cause analysis on complaints;
• Maintaining a record of and monitoring breaches, errors and incidents;
• Reporting material and emerging regulatory risks or issues to the Board;
• Providing management information on compliance related matters to the Board, including an annual report on conflicts of interest and product governance;
• Actively seeking sufficient resources to discharge the firm’s responsibilities under the regulatory system;
• Regularly reporting to the regulator using the systems and formats provided, including in relation to the Conduct Rules; and
• Providing compliance related training, including in relation to the Conduct Rules; and
• Ensuring the firm and its Directors have access to and receive professional compliance advice when required.

Experience Required:

• Senior level Compliance experience within a Wealth/Investment business
• Previously holding SMF16 would be beneficial
• Direct experience liaising with the FCA