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MERJE is currently working with a boutique funds specialist in their search for a Chief Compliance Officer in London. This critical hire offers an exciting opportunity to oversee compliance operations in a dynamic and fast paced environment and will play a crucial role in maintaining regulatory standards and fostering a culture of compliance across the business.
Taking on a key leadership role with the firm, you will be responsible for:
- Providing broad compliance advisory support to the fund managers
- Maintaining and updating compliance manual and policies and procedures
- Managing the compliance program on day-to-day basis, covering financial promotions, personal account dealing, updating compliance logs/registers and prepare/submit regulatory filings
- Proactively review upcoming regulatory changes and assess impact on the firm and its funds
- Day-to-day management of the firm’s compliance related technologies
- Managing service providers including outside legal counsel and compliance consultants
- Attend and prepare minutes for all compliance-related committees
- Providing ongoing compliance training to firm employees
Experience/Skills/Qualifications:
- Operated as a Head of Compliance (SM16) in a funds/alternative or private equity environment
- Thorough knowledge of the FCA’s regulatory rules as they pertain to asset managers
- Working knowledge of non-U.K. regulatory regimes US/EU etc (preferred)
- Strong relationship-building skills with the ability to engage proactively with fund managers and colleagues at all levels
- Attention to detail and strong analytical skills, capable of logical thinking, using initiative, and systematically resolving problems
- Proactive, self-supportive, and motivated in fostering a positive compliance culture
- Excellent report writing and presentation skills
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.
