Head Of Compliance

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)