Responsibilities:
- Oversee internal Compliance framework as well as policies and procedures.
- Give insight across a broad range of regulatory topics.
- Find practical compliance solutions on a number of regulatory topics.
- Oversee a team of Managers and Juniors.
- Conduct client calls to discuss Compliance tasks and monitor their conduct.
- Manage the ongoing compliance monitoring plan for a portfolio of clients (hedge funds, investment managers and other buy-side firms)
- Collate Compliance requests and discuss issues to the committee.
Technical Skills & Qualifications:
- Significant experience working in an FCA compliance environment with a good understanding of the financial services industry.
- Good knowledge of investment products/markets.
- Strong knowledge of relevant compliance frameworks and practical procedures.
- Understanding of risk considerations regarding financial promotions, controlled functions and fund manager trading services.
- Proven ability to lead manager level teams and interact effectively with senior clients.
- Desire to work in an dynamic, fast-moving and entrepreneurial environment.
- Bachelors degree or similar Regulatory qualification.
