Head of Compliance (SMF16/17) - Boutique Fund Manager

Location: You can work fully remote (The business has offices all across the UK, London, Bristol, Midlands, Liverpool, Manchester to name a few).

Role purpose

To assist the Board in ensuring the business continues to meet its regulatory obligations. You must be a trusted business partner with the capacity to get things done through collaboration, effective communication and persuasion.

You will lead the Compliance team in delivering high-quality compliance advice, oversight and challenge to the business, as well as performing the Compliance Oversight and Money Laundering Reporting functions (SMF16 & SMF17).

Key responsibilities

Lead the Compliance Team in delivering and maintaining a programme of monitoring, that reviews operational business activity to assess that regulatory requirements are being complied with.
Deliver, maintain and oversee the firm's risk management framework.
Carry out the role of MLRO, responsible for oversight of the firm's compliance with the FCA's rules on systems and controls against money laundering.
Provide advice and assistance to the Board and staff to help them meet their regulatory responsibilities
Provide analysis and early warning of regulatory change which may impact the business.
Ensure there is Compliance input and support for business led projects and Compliance led projects are delivered to plan.
Ensure customer communications, including financial promotions, are reviewed and approved in line with FCA rules and guidance.
Ensure the firm's compliance policies and procedures are kept up to date; that they are appropriate, proportionate and understood by the business, driving the right compliant behaviours.
Ensure the firm's regulatory permissions for its activities are accurate and up to date.
Oversee the completion and submission of the firm's regulatory returns.
Ensure the Compliance team promote a strong compliant culture within the business, through training and general awareness activities.
Oversee compliance with the firm's Training & Competence Scheme
Provide independent reporting to the Board, Committees and senior management as appropriate, on where the firm currently sits with their regulatory compliance.
Help raise awareness of the regulations and industry standards which apply to the firm and its business modelEssential Skills

Able to lead and manage staff
Able to prioritise and manage competing & changing team priorities
Able to prioritise own work to strict deadlines
Attention to detail
Able to problem solve and deal with complex queries
Strong written and verbal communication skills
Good stakeholder management, at all levels
Able to persuade and influence
Good numeric skillsExperience

At least 5 year's FCA regulated compliance experience, including managing a team.
Experience working in a MiFID Investment Firm / Fund Manager / Wealth ManagerIf you would like to know more please do get in touch, we can set up a confidential call this week.

Email: (url removed)

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