A Global Investment Manager who have an excellent reputation have recently acquired an Information Services and Research Business. They need a Chief Compliance Officer to head up their Compliance function. This role holds overall responsibility for the identification and monitoring of risks affecting the Firm from a regulatory perspective
- Provide advice to Senior Management on matters affecting the regulatory position of the Firm
- Assess and mitigate regulatory risks affecting the Firm
- Develop and maintaining compliance policies & procedures, risk assessments and control frameworks
- Design an effective compliance framework to monitor effective compliance across the business and a range of financial products
- Ensure that new products and services meet regulatory requirement and internal compliance standards.
- Build a regulatory risk programme to assess risk and controls
- Investigate breaches of regulatory requirements and internal policies and procedures and engage with the relevant business heads to ensure breaches are appropriately rectified.
- Support with the filing of regulatory registrations, licences and exams to the regulators
- Develop the compliance monitoring and testing plan and working with the business by advising them with recommendations and enhancements
- Act as a regulatory advisor and keep the business and board up to date about upcoming regulatory change
- Strong regulatory knowledge and experience gained working in a central compliance function
- Relationship management skills are essential so previous demonstrable experience working with board members and the regulators is key
- Strong knowledge of financial markets products
- Previous experience managing and developing a team
- Strong knowledge of UK & EU regulations
- Educated to degree level with relevant industry experience
- Prior legal qualifications and experience is preferred
If you feel you have the relevant experience for this newly created opportunity, please apply to this advert and send your CV to Anna Dunne at Twenty Recruitment.
Twenty Recruitment's Compliance & Governance function are a team of specialist consultants covering Financial Crime Compliance, Regulatory Compliance & Operational Risk mandates, both permanent and temporary, across Financial Services, Technology and Energy.