Compliance Officer & Systems and Control Role

  • Competetive GBP
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Sun Global Investments Limited
  • 28 Aug 18 2018-08-28

Sun Global Investments Limited is an idea-centric wealth and investment management firm for Professional Investors, covering emerging and developed markets. Active in Wealth Management, Investment Advisory, Securities Trading and Corporate Finance.


• Experienced as a CF10 (Compliance Oversight) / CF11 (Money Laundering Reporting) / CF28 (Systems and Control) • Experience on the Wealth Management/ Securities Trading

• Good knowledge of FCA, PRA and any other applicable rules relating to Financial services

• Extensive executive leadership skills, strategic skills and long-standing senior management experience

• Strong corporate governance skills

High level interpersonal and persuasion skills, including the ability to work within a team.


• Accountable to the PRA / FCA for the delivery of the firm's regulatory compliance and financial crime obligations by holding the Controlled Functions CF10 Compliance Oversight, CF11 Money Laundering Reporting Officer, CF28 Systems and Control

• File compliance regulatory and company returns within set deadlines

• Validate and approve KYC documentation relating to account opening and payments

• Development of an appropriate, risk based, compliance framework

• Provide timely, accurate, and relevant regulatory advice to the business

• Responsible for the firm's compliance with the FCA and PRA rules on systems and controls, CASS Oversight

• Providing administrative support to the outsourced internal audit service, arranging management responses and monitoring follow-up and remedial action

• Maintain and execute the Compliance Monitoring Program to include periodic tests of the effectiveness of firm policies

• Providing compliance and Money Laundering training for all staff and management

• Serve as the firm's key point of contact with the PRA and FCA including all authorisation and breach reporting matters

• Obtained Authorisations, Variation of Permissions & Passports with FCA

• Resolved FCA Disciplinary actions including Warnings, Directions and Notices of Investigation

• Capital structuring to meet FCA’s and CRD IV Capital Resources Requirements

• Undertaking ad-hoc projects as required.