Responsibilities:
Oversee internal Compliance framework as well as policies and procedures
Give insight across a broad range of regulatory topics
Find practical compliance solutions on a number of regulatory topics
Oversee a team of Managers and Juniors
Conduct client calls to discuss Compliance tasks and monitor their conduct
Manage the ongoing compliance monitoring plan for a portfolio of clients (hedge funds, investment managers and other buy-side firms)
Collate Compliance requests and discuss issues to the committee
Technical Skills & Qualifications:
Significant experience working in an FCA compliance environment with a good understanding of the financial services industry
Good knowledge of investment products/markets
Strong knowledge of relevant compliance frameworks and practical procedures
Understanding of risk considerations regarding financial promotions, controlled functions and fund manager trading services
Proven ability to lead manager level teams and interact effectively with senior clients
Desire to work in an dynamic, fast-moving and entrepreneurial environment
Bachelors degree or similar Regulatory qualification
