Head of Compliance – Investment Management
- Salary£90K - £110K + Bonus + Bens
- LocationLondon, West End
- SectorCompliance & Regulation, Fund/Asset Management
- Reference1354J
- PublishedApril 6th 2010
Our client, a leading financial services group, is looking for a new Head of Compliance to manage a small team overseeing all areas of the firms business. Holding CF10 & 11 and reporting directly to the CEO, your duties will include:
• Manage and work within a small Compliance team ensuring the team works in an efficient and effective manner to meet the needs of the business
• Review of all policies and procedures to ensure compliance with current regulations, providing advice to the business on proposed new business, regulatory changes and business critical issues
• Ensure that compliance is monitored within office policies, audit recommendations, investment mandates, trade guidelines and best practice
• Reviewing and recommending new strategies and implementing new processes.
• Oversee and manage the accuracy, timeliness and consistency of regular risk and compliance reports for users at all levels
• Responsibility for the quality assurance and timely production of all information and analysis issued by Compliance ensuring that internal audit recommendations are implemented with agreed timeframes
• Manage and coordinate training for staff with regard to Compliance and regulatory needs
You should have solid Compliance experience from an investment management firm, able both to operate at Board and still roll your sleeves up yourself. Any experience of alternative asset classes useful.
For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him as below.
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.
