We are exclusively recruiting for a Global Investment Management company looking for a Head of Compliance & MLRO (SMF16/17). This is an ideal opportunity for an individual looking to make that first step into an SMF role within an exciting, growing funds business. The successful candidate should have experience working with Institutional Clients and a strong UCITS knowledge.
- Enhancement and implementation of annual compliance plans, compliance monitoring, and the Compliance Manual, in cooperation with Global Compliance teams and the COO.
- Enhancement and development of the Compliance and Risk Management Framework in the UK.
- Identification of regulatory changes relevant to the UK and coordination of response and implementation within the firm.
- Ongoing monitoring of developing best practices in Compliance and AML, e.g. through participation in industry forums and working groups.
- Regulatory support for cross-border activity undertaken from the UK, e.g. into the African markets.
- Operate as local MLRO, supporting the onboarding, periodic review and monitoring of clients alongside the Transfer Agent and Management Company for investors into the firms fund range.
- Planning and delivering Compliance and AML awareness training, also in cooperation with external compliance advisors.
- Report to the Board on a quarterly basis regarding compliance and risk matters.
- Has at least 8-10 years of experience in regulated financial services, ideally within asset or investment management covering Equity and Fixed Income products
- A good understanding of UCITS funds in particular domiciled in Ireland would be highly beneficial as would knowledge of the Exchange Traded Fund (ETF) wrapper
- Has an international mindset with experience in working for an international organization with a strong focus on growth. ESMA knowledge will be considered favourably.
- Pragmatic self-directed professional who gets things done with good communication skills
- Has the highest standards of professional and personal integrity, combined with sound judgment, maturity, perseverance and resilience.
Unless otherwise stated, candidates must have the right to work in the UK.
The CLARC Guarantee – we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.