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Job Description *

Our business is a thriving financial services firm that encompasses a wealth management and outsourcing business. Based in the heart of Mayfair, we are seeking a forward thinking experienced compliance professional to head up our compliance team.

Responsibilities:

• Manage a team of six with the responsibility and oversight for all aspects of compliance related to the operations of an FSA licensed investment management business.
• Manage external compliance program including direct supervision of compliance officers operating within the EMEA region.
• Participation as a member including presentation of reports as required to the various Directors and Committees,
• Interpretation and advisor to the business of all applicable requirements of FSA Rules and Regulations as contained in the relevant FSA Handbook (focus on COBS, SYSC, CASS) and other applicable domestic or international regulations.
• Monitor regulatory developments applicable to the business and ensure that appropriate impact assessment, gap analysis and implementation steps are carried out in a timely manner
• Primary contact and Relationship Manager with the FSA.
• Development, implementation, maintenance and delivery of the Compliance Plan and Compliance Monitoring Programme to identify, monitor and manage regulatory risk.
• Developed and maintained compliance policies and procedures across business.
• Acting as a key stakeholder in projects to provide compliance analysis and review of new business initiatives and developments.
• Responsible for oversight of all regulatory audits and reviews.
• Overall responsibility for the production of Compliance MI including accuracy of content and timeliness of delivery.

Technical Capabilities/Skills & Experience Required for the Role:

• The ideal candidate will be a degree educated well-established compliance professional with experience either gained from the Compliance Department of a regulated investment firm in the private banking and/or asset management sector or within a regulatory authority with excellent working knowledge of applicable UK and EU legislation.
• Detailed knowledge of FSA Regulations (including detailed knowledge of CASS requirements.)
• Broad knowledge of financial markets and expertise in major product areas and financial services
• Demonstrable evidence of analysing and documenting complex business processes
• Proven experience interacting directly with key business stakeholders
• Previous experience of working on regulatory reviews

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