Act as the Global Head of Compliance with oversight responsibilities where you will be managing a team of Compliance Officer
Global Head of Compliance role with Oversight and Management responsibilities for other Compliance Officers and teams within the Global Business. Enhance and support with business relationships, through engagement on business needs and identification of areas of regulatory risk in order to inform Compliance planning, assurance & advisory.
Responsibilities in the role:
- Responsible for Compliance framework & Compliance oversight
- Responsible for the production of a Compliance plan, including the design and execution of a risk based compliance monitoring plan, including the tracking, reporting and resolution of recommendations with the business
- Reporting to the Executive Committee and CEO, and advising them on all compliance matters
- Support the business with Regulatory change. Including the provision of impact analysis reporting or liaison with other Compliance or business representatives as part of implementation work. For example MIFIDII, SMCR, Brexit, Conduct Risk.
- Promote an effective compliance culture throughout the firm
- Creation and oversight of compliance processes
- Review of any applicable investment restrictions reporting and other compliance reporting for the funds;
- Advising on services and activities on behalf of the AIFM / UCITS Management Company
- CBI related compliance
Requirements for the Role:
- Understanding of CBI / FCA / SEC rules as applicable to an Asset Management business or Funds Business
- Understanding of regulatory and operational compliance rules as applicable to an Asset Management business
- Product and core asset class knowledge - eg AIFMD, hedge funds, UCITS
- Strong understanding of operational risk frameworks, risk assessment methodologies, policies and processes.
- Min 8 years' of relevant experience in a Senior Compliance role within the Asset Management or Funds Industry
Morgan McKinley is acting as an Employment Agency in relation to this vacancy.
Please note that any references to salary or pay rates in this advertisement and in the salary refinement section are indicative only and should only be used as a guide.