Chief Compliance Officer & Legal Counsel
Ensure the business maintains an environment which meets all applicable regulatory requirements and expectations, and to carry out the Compliance Oversight Function (CF10) and the MLR Function (CF11) by:
- Ensure maintenance of the compliance environment which meets all regulatory requirements and expectations incl. review, development/ enhancements of the compliance manual and documents.
- Work closely with all areas of the business to promote appropriate discipline, control and compliance implementation of anti-money laundering policies, procedures and training.
- Assisting with reviewing and implementing FCA regulations (the role assists with the communication between a number of service providers, including the firm's external auditors, IT providers and compliance consultants).
- Assist in organising the training of personnel to ensure awareness of and understanding by all personnel of their responsibilities in relation to compliance.
- Preparing and maintaining the ICAAP document and ensure the firm's adhere to capital requirement at all time.
- Be a member of the governing body and risk committee and attend regular committee meetings
On the person specification,
- Minimum 5 years' CF10/11 experience in UK regulated hedge fund or major bank
- Attitude that is able and willing to challenge
- Product knowledge: FX, Fixed Income, Rates and Equities
- 2:1 Graduate degree level education or higher from leading university
- IMC / CFA or equivalent qualifications
- Highly motivated and organised individual with attention to detail
- Ability to work alone and under pressure with strong communication skills
- Strong Desktop IT skills
- Positive attitude to support business needs / commercial awareness
- Experience using technology to effectively monitor compliance with areas such as market abuse, conflicts and money laundering regulations
- Experience with overseas regulators e.g. SEC,CTFC,FINMA
- Legal or Financial Qualification