Supporting an innovative investment platform in the ETF space, aiming to revolutionise how individuals manage and invest their money for the long term.
As they look to expand, they are currently seeking a Head of Compliance to become a pivotal member of our team in London.
Reporting directly to the Board of Directors, with day-to-day reporting to the Managing Director, you will be responsible for all aspects of the firm's compliance and financial crime functions, as well as providing basic legal support.
What will you be doing?
- SMF 16/17 function managing the Compliance team, you will develop and implement company policies and procedures across all business areas.
- Design and monitor control systems to address violations of legal rules and internal policies.
- Regularly assess the efficiency of risk and control systems, recommending effective improvements.
- Take on the responsibilities of the MLRO, ensuring financial crime systems and controls meet the business needs.
- Oversee periodic monitoring of company procedures, identifying hidden risks or common issues.
What do they need?
- Minimum 8 years of relevant experience in financial services compliance, preferably in a retail broker or asset management firm.
- Extensive knowledge of UK regulatory compliance, including FCA rules and guidance, still applicable European legislation (MiFID, GDPR, MLDs), and general industry standards.
- Awareness of the changing investment management landscape and the curiosity to explore opportunities in technology and market developments.
- Ideally previous experience in an SMF 16/17 capacity
Benefits
- They can offer personal and professional growth is essential to you, we offer an open-minded and flexible environment where you can contribute to our growth as much as we can contribute to yours.
- Remote working
- "Work from anywhere" scheme - work up to 3 months overseas
- Eligibility for the Option Scheme on launch
- Support for developmental courses and qualifications
