Chief Operating Officer / Chief Compliance Officer

  • Highly Competitive
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Aquis Search , EA Licence No: 16S8125
  • 20 Mar 18 2018-03-20

Asset Management business in London is seeking to recruit a Chief Operating Officer / Chief Compliance Officer to support the ongoing growth, governance and development of the firm. This is hands on role and the duties involved will be incredibly diverse. The small firm is currently experiencing large amounts of capital injections and has ambitious growth plans.


- Act as CF10 and CF11 for the business and acts as the main contact to the regulators

- Report to the Chief Executive Officer and responsible for compliance monitoring, operations, business management and day-to-day activity of the firm

- Formulate and update compliance policies, procedures and documentation to meet all regulatory and internal requirements

- Manage the Company’s internal systems and controls procedures related to FCA, AML regulations and keep reviewing all regulations and laws forthcoming changes that are likely to impact the business and operations

- Responsible for the company’s regulatory license applications and monitoring trades and transactions

For a confidential discussion on this role please contact Gareth Rees on +852 2537 0333 or