Head of Compliance & MLRO (SMF16 & SMF17)
SKILLS
FULL DESCRIPTION
Part-time Head of Compliance & MLRO (SMF16 & SMF17)
The chance to join a small but ambitious firm that puts Compliance at the heart of its operations.
This is a 3 days per week part-time / fractional role with 2 of those days spent in the London office with the other day working from home (you can spend all 3 days in the office if you wish).
What you’ll be doing
You’ll be responsible for ensuring the business operates compliantly, taking on responsibility for both Regulatory and Financial Crime Compliance for the firm.
You’ll hold direct accountability for the design, implementation and ongoing maintenance of an effective Compliance framework, policies and monitoring plan that supports strategic objectives.
You’ll adopt a balanced and reasoned approach to the interpretation and application of regulatory rules and guidance, ensuring the firm meets its investors’ needs, its regulatory requirements and its business objectives.
You’ll also undertake horizon scanning to keep the leadership team abreast of any changing regulatory requirements, ensuring the business responds accordingly.
What do you need?
You’ll be an experienced senior Compliance specialist familiar with operating at this level within the Retail Investment Management arena, ideally as an SMF16 although this is not essential.
You’ll be familiar with the regulatory landscape impacting a retail investment management firm, including Consumer Duty.
You’ll have a proven track record of senior stakeholder engagement, whilst excellent communication, negotiating and influencing skills are essential.
You must also be happy working in a hands-on manner – you’ll never be far from the coalface.
Interested?
If so, click apply and send over your CV.
Not got an up to date CV?
Don’t worry, you can always give me (Mark) a call on [contact hidden] for a confidential discussion or email me at [contact hidden] letting me know that you’re interested. We’ll pick it up from there.