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| Job Location | London |
| Education | Not Mentioned |
| Salary | £90,000 - £120,000 per annum |
| Industry | Not Mentioned |
| Functional Area | Not Mentioned |
| Job Type | Permanent, full-time |
A Head of Compliance is required by a fast-growing investment platform to lead compliance operations in the UK as part of a larger global compliance team. The role will have SMF16 and SMF17 responsibilities.Your responsibilities will include:Acting as an adviser to the Board of Directors and Senior Management on general compliance issuesMaintaining up-to-date understanding of relevant aspects of prevailing business practices and the application of regulation to its businessLiaise and report to the relevant regulatory bodies as required by the applicable regulationsConducting and recording regular compliance monitoring to ensure that the business and its transactions are conducted in compliance with FCA regulationsEnsuring staff are trained in UK regulatory requirements (particularly COBS and CASS) to ensure they comply with the relevant T&C regimeAssessing the Company’s status of compliance and report periodically to senior management and the Board, keeping them informed of all relevant mattersDesigning and reviewing the company’s internal policies and procedures related to compliance matters and controls relevant to AML and CTFMonitoring and assessing the correct and effective implementation of the policies in relation to AML and CTF, implementing the risk management and procedures manual and applying relevant monitoring mechanisms to assess the level of compliance attainedDetecting, recording and evaluating all risks arising from existing and new customers as well as new financial instruments and servicesYou will be an experienced Compliance professional from within the financial services community and will have held CF10/SMF16 and CF11/SMF17 responsibilities previously. You must have an excellent understanding of FCA regulations, particularly COBS and CASS, and associated legislation such as FSMA and MiFID II. You will have extensive experience of dealing with regulators and other external bodies and will also possess considerable commercial acumen together with exceptional stakeholder management skills. Required skills
Keyskills :
Compliance CF10 CF11 SMF16 SMF17