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Our client is a deeply respected private client investment manager . This role will be to manage the Compliance function , to ensure that the Company is and remains compliant with all regulatory requirements of the FSA, the SEC and other appropriate bodies, including anti- money laundering regulations.


To be responsible for the day-to-day development and management of the Compliance team, including co-ordination of all compliance monitoring, review and implementation of all regulatory matters, review and updating of the compliance and procedures manuals, updating of compliance records and submission of all regulatory returns.

To act as registered Compliance Officer and MLRO for the business.

Responsibilities include:

Oversight and Development of team of Compliance officers, with full responsibility for day to day team management
Responsible for business wide monitoring and reporting to the businesses . reporting monthly, quarterly and annually

Responsible for advisory service to the front and back office on day to day trading, KYC, AML, Treasury, Settlements, Dealing.

Strategic planning, review and decision making for the Compliance function.

Directly advising the CEO on Compliance matters.

Familiarity with SEC reporting requirements

Managing Internal/External Audits - both regulatory and corporate

FSA/SEC liaison

Please contact Fergus Hooley

Joslin Rowe - Winner of 4 UK Recruiter Awards including Best Accountancy/Financial Recruitment Firm and Best Office Support Agency.
Joslin Rowe is a Randstad company. Joslin Rowe Associates Ltd encourages applications from individuals from all backgrounds but candidates must be able to demonstrate their ability to work in the UK. Joslin Rowe Associates Ltd is acting as an Employment Agency in relation to this vacancy.

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