We are retained by a highly reputable, long only investment boutique based in London. Our client, a leading Fund Manager with an extensive track record of superior performance is looking to add part- time senior compliance advisor to bolster the technical acumen of the current team. The hire will work alongside the current Head of Compliance, providing the existing team with regulatory support whilst also contributing to the development and automation of compliance processes.
The incumbent will be responsible for: providing expertise in compliance and regulatory risk management; providing guidance to the compliance team and wider company Risk function; and continuing to develop a strong compliance culture across the company.
- Ensure that the regulatory risks to the company and its employees are effectively identified assessed and mitigated
- Ensure that the business is provided with appropriate and timely advise on regulatory/risk matters and the impact of proposed business initiatives on the regulatory/risk profile of the firm
- Ensure that an effective risk based compliance programme covering monitoring, training, MI, governance and policies and procedures is designed
- Ensure that risk and compliance processes such as maintenance of approved persons registers, completion of regulatory filings (eg complaints return) are performed effectively and efficiently
2) Effectively lead, manage and develop the company Compliance team
- Support in the development and management of the firm's compliance procedures, documentation and monitoring systems, with responsibility for any initiatives to enhance the firm's compliance processes
3) Contribute to the effective management and governance of the company and its affiliates
- Effective liaison with the company internal shared service providers: HR, Finance, Legal etc
- Ensure that the business, Boards and Senior Management have confidence in the Compliance function.
- Ensure that Compliance is a key stakeholder in key projects and developments of the business.
4) Effective Management of relationships with key regulatory agencies
- Ensure that the company is appropriately prepared for, and responds, to any regulatory assessments performed