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Head of Compliance

  • Location

    City of London, London

  • Sector:

    Operations & Middle Office

  • Job type:

    Permanent

  • Salary:

    £80000 - £90000 per annum

  • Contact:

    Scott Duerden

  • Job ref:

    SDHOCM01_1627547638

  • Published:

    about 2 months ago

Our client, an International Real Estate specialist based in the City of London is looking to recruit a new Head of Compliance. The compliance function is headed up by their general counsel and currently consists of a compliance officer and compliance assistant. Our client is seeking a confident and experienced compliance professional who thrives in fast-paced environment. This is a varied role and the successful candidate must be able to manage multiple projects simultaneously, have excellent attention to detail, and the ability to recognise and prioritise urgent requests. The ideal candidate will have previous experience as a compliance manager and is looking to take the next step up to Head of Compliance.

Responsibilities of the Head of Compliance will include;

  • Responsible for governance, risk and compliance and ensuring the Company operates within the regulatory framework
  • Reviewing and implementing FCA and EU regulations, keeping abreast of any regulatory changes
  • Keeping abreast of AML, producing guidance and ensuring adherence to changes
  • Implementing risk management frameworks and ensuring alignment with board level risk attitudes
  • Providing high quality regulatory advice and guidance to the business, reporting directly to the Board highlighting compliance issues, breaches and providing recommendations for resolution
  • Establishing an annual compliance monitoring plan, full management and reporting on progress
  • Devising, writing and implementing policies, procedures and risk assessments
  • Understanding of FCA BIPRU, AIFMD Annex IV reporting requirements and technologies
  • Preparing and submitting FCA applications e.g. Variations of Permission and Approved Persons
  • Presenting both written and oral reports
  • Responsible for SMCR, identifying individuals, registering employees and conducting necessary training
  • Preparing and working on SEC filings, Pillar 3 disclosures (for the proposed AI/hedge fund vehicle), FCA (and UK stewardship code for the hedge fund), UK promotions, AIFM
  • Responsibility for internal bribery, corruption, share and gift regulations and adherence
  • Conducting and completing customer due diligence and KYC
  • GDPR subject matter expert, responsible for ensuring adherence to GDPR, reviewing and implementing changes to current policies, procedures and privacy notices

To be considered for the Head of Compliance role you must have a minimum of 8+ years' experience working in compliance role. You will need to have compliance management experience in a FCA regulated organisation. You should also have the following experience & skills;

  • Compliance or financial crime qualified (ICA, CFA or CISI)
  • Previous experience with publicly listed entities
  • Knowledge of the real estate fund management and money laundering risks
  • Previous compliance management experience within the real estate or FS sector
  • In depth knowledge of FCA and AML regulatory framework, requirements and expectations
  • Experience in governance, risk management and compliance with proven history of implementing risk management frameworks
  • GDPR experience and expertise
  • Currently or has recently held the CF10 and/or CF11 functions
  • Excellent knowledge of the key areas of the FCA handbook including but not limited to AIFMD,COBS, SYSC, CASS, MAR and their applicability to a BIPRU firm
  • Excellent reporting abilities (written and oral)
  • Ability to lead and influence key decision makers

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