Senior Compliance Officer - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

1 week ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Gresham Hunt is partnered with a leading US financial services firm in their search for a Senior Compliance Officer (Director level internally) to join their London-based team.

This is an exciting opportunity to deputise the UK Chief Compliance Officer, providing generalist compliance advice, monitor investment management practices, train and manage members of the team in compliance matters, and support the development and growthof the firm from a compliance and regulatory perspective.

You will focus on the organisation's Asset Management business units, delivering on a range of corporate compliance initiatives as well providing regulatory oversight and support.

Responsibilities:

Providing compliance advice on existing and new regulatory matters
Monitoring and testing of current compliance controls and frameworks
Supporting the development and delivery of compliance training programmes
Assisting in the development of company policies and procedures
Help review and compile specific regulatory filings/reports (including applicable FCA Regulatory Returns and submissions required under the SMCR)
Participating in intralegal and Compliance meetings and representing the Compliance Department in relevant meetings
Manage and mentor a team of Compliance Associates with respect to central compliance activities
Demonstrable experience within compliance in the financial services industry, preferably asset management. Experience within a Big 4 consultancy or specialist compliance advisory firm would be desirable
Extensive knowledge of rules and regulations pertaining to asset management, in particular custody and MiFID regulations
Extensive stakeholder management experience required (C-Suite, Regulator)
Strong verbal and written communication skills, with the ability to interact and influence across all levels and departments
CISI Diploma accreditation would be highly desirable