MERJE are working with a well established Investment manager in their search for a Head of Compliance.
The Head of Compliance will be responsible for compliance with all applicable FCA & SEC regulations.
Provision of technical advice, support & regulatory guidance
Development & completion of the annual compliance monitoring programme
Ensuring that the company identifies any changes in law and regulation by horizon scanning
Review and implementation of compliance policies & procedures
Projects including implementing new regulation, advising on new investments or researching specific legal or regulatory queries from the wider business
Compilation and submission of regulatory reporting through Regdata, Connect, FINRA etc
Ownership of the AML program
Experience needed:
8-10 years of relevant and broad compliance experience gained in a fund or investment management environment
Strong interpersonal and relationship building skills including the ability to interact with and influence at all levels of an organization
Excellent written and oral communication skills
Previously operated as SMF16 (preferred)