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Head of Compliance & Risk
Posted 1 day 16 hours ago by MERJE Ltd
Permanent
Not Specified
Academic Jobs
London, United Kingdom
Job Description
MERJE has been exclusively instructed to support a highly regarded Investment Management firm in their search for a Head of Compliance & Risk.
You'll be responsible for overseeing the Compliance & Risk teams, engaging in a diverse range of tasks. This is a really exciting role where you will be responsible for:
- Taking on the SMF 16 and SMF 17 remit
- Provision of technical advice, support & regulatory guidance
- Development & oversight of the annual compliance monitoring programme
- Reviewing and implementation of compliance policies & procedures
- Lead the implementation and maintenance of robust systems, policies, and controls to ensure compliance with regulatory standards, covering areas such as risk management, governance, anti-financial crime, and data protection.
- Reporting directly to Boards and Committees on all compliance matters
- Managing regulatory permissions while fostering effective relationships with the FCA
- Embedding consumer-focused governance across all levels to ensure alignment with the FCA Consumer Duty, ensuring products and services meet market needs and deliver positive outcomes
Experience/Skills/Qualifications:
- 8-10 years + broad Compliance experience ideally gained within an Investment Management environment
- Previously held SMF16 & 17
- Strong relationship-building skills with the ability to with stakeholders at all levels across the business
- Thorough knowledge of the FCA's regulatory rules appropriate to the investment management space
- Attention to detail and strong analytical skills, capable of logical thinking, using initiative, and systematically resolving problems
- Strong academic background (relevant compliance qualifications such as CISI desirable)
MERJE Ltd
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