Senior Compliance Officer
London, UK
Gresham Hunt is partnered with a leading US financial services firm in their search for a Senior Compliance Officer (Director level internally) to join their London-based team.
This is an exciting opportunity to deputise the UK Chief Compliance Officer, providing generalist compliance advice, monitor investment management practices, train and manage members of the team in compliance matters, and support the development and growth of the firm from a compliance and regulatory perspective.
You will focus on the organisation’s Asset Management business units, delivering on a range of corporate compliance initiatives as well providing regulatory oversight and support.
Responsibilities:
- Providing compliance advice on existing and new regulatory matters
- Monitoring and testing of current compliance controls and frameworks
- Supporting the development and delivery of compliance training programmes
- Assisting in the development of company policies and procedures
- Help review and compile specific regulatory filings/reports (including applicable FCA Regulatory Returns and submissions required under the SMCR)
- Participating in intralegal and Compliance meetings and representing the Compliance Department in relevant meetings
- Manage and mentor a team of Compliance Associates with respect to central compliance activities
Successful candidates will have:
- Demonstrable experience within compliance in the financial services industry, preferably asset management. Experience within a Big 4 consultancy or specialist compliance advisory firm would be desirable
- Extensive knowledge of rules and regulations pertaining to asset management, in particular custody regulations
- Extensive stakeholder management experience required (C-Suite, Regulator)
- Strong verbal and written communication skills, with the ability to interact and influence across all levels and departments
- CISI Diploma accreditation would be highly desirable
Candidates must be based in the UK with full right to work. Unfortunately visa sponsorship is not available at this time.