Compliance Officer (Head of UK Compliance) - Asset Management

Compliance Officer (Head of UK Compliance)
Asset Management
£110K-£130K base + bonus
London
Duties
Providing compliance advisory support to approx. 50+ front office staff KYC reporting, process and issues
Conflict management, solutions and reporting
Restricted trading lists and approval of personal trading requests
Regulatory change - assist in the analysis and strategic review of new regulation
Regulatory Risk Analysis - assist in the identification and mapping of regulatory risks
Oversight and testing of the compliance programme related to the Investment Advisor for Private Equity Funds, Listed Investment Companies and Private Institutional Funds including: Investor Protection
Trading Controls
Market Abuse
Regulatory Reporting
Financial Crime
Systems & Controls
Providing core compliance support: Undertaking outside business interests / personal investment / gifts and entertainment reviews
Undertaking vendor reviews
Chaperoning consultant calls / market soundings meetings
Handling restricted list overrides
Filing position disclosures
Maintaining manuals, policies, procedures, risk assessments
Monitoring markets interventions - bans / sanctions
Regulatory/Exchange Enquiries - assisting in the analysis and delivery of responses
Training and Compliance - assist in the design and delivery of compliance training and in producing compliance bulletins in relation to relevant topics
Familiarity with key pieces of European legislation (e.g. SSR, MiFID II, EMIR) and with the FCA Handbook
Work with compliance outsourced providers to finalising and lodge licenses applications
Must have
8+ years general compliance experience in financial services across multiple jurisdictions in investment businesses
Experience in a small organisation and/or start up with a self starter attitude
Strong collaboration and teamwork skills, with the ability to work with a distributed global team across various levels of seniority
A strong entrepreneurial mindset, with the ability to actively engage with the business, thrive and be self-directed in a very fast-paced growth
Highly collaborative working style, with comfort working in working environments defined by shared ownership of projects and flat decision-making structures.
Strong commercial focus and literacy, with a sensitivity for the commercial concerns of clients.
Ability to work to strong deadlines and to manage prioritisation and stakeholder expectations across multiple competing priorities
Highly desirable
The successful candidate is likely to have an advanced university qualifications in economics, finance, business, or a closely related field, and relevant compliance experience in financial services
Experience in FCA registration
Experience working across multiple jurisdictions
Ability to manage change in an organisation, including by seeking and generating buy-in, building culture and supporting stakeholders to engage with the program of work at hand.
Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. Where rates of pay or salary ranges are detailed these are dependent upon your experience, qualifications or training. If you wish to apply for this position please read our Privacy Notice which details how we may use, process, store and disclose your Personal Information: roberthalf.co.uk/privacy notice.



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