Head of Compliance
- competitive salary plus bonuses
- London, England, United Kingdom
- Permanent, Full time
- Henderson Rowe Limited
- 10 Nov 18
Head of Compliance, CF10 and CF11 and Data Protection Officer for Mayfair based High Net Worth investment manager. Flexible working and competitive package in a firm that has recently been acquired by a global institutional smart beta leader.
Henderson Rowe is the London subsidiary of Rayliant Global Advisors (approx. $28bn assets under advice or management). Based in Mayfair the company was established in 2002.
With 24 staff the firm serves high net worth private clients, principally managing discretionary portfolios of shares, bonds and index funds.
Supported by Newgate Compliance who provide an outsourced, centralised system to monitor and record the successful candidate will report to the Board and CEO.
The firm is set to grow, and the role will be challenging and rewarding. The global nature of Rayliant Global Advisors means that there may well be opportunities to participate in the wider institutional parts of the business over time.
Key Responsibilities / Tasks
- Responsible for CF10 and CF11 functions, compliance and AML for the high net worth team in London (KYC, AML, regulatory reporting etc.)
- To ensure that Henderson Rowe (the ‘Firm’) complies with all regulatory, legal and Industry Body requirements placed upon it by all the appropriate authorities/acts, through the effective provision and maintenance of Policy guidelines, appropriate monitoring programmes, compliance reviews and associated management reporting.
- To act as Money Laundering Reporting Officer (MLRO) for the Firm. Responsible for provision and maintenance of Policy guidelines, the company AML framework and Financial Crime Risk Assessment. Responsible for evaluation of and submission of Suspicious Activity Reports (SARs) via relevant authorities including FCA, NCA (including NCA consent requests where appropriate) and Action Fraud.
- To act as Data Protection Officer for the Firm, advising the business matters relating to Data Protection regulation and overseeing compliance with said legislation and regulatory requirements.
Key Qualifications / Experience
- 5 years plus experience in Compliance at a senior level ideally within the high net worth or private client discretionary arena
- Recently or still a Senior Compliance Officer, Deputy Head or Team Head in a wealth management firm, private client manager or similar type of firm
- We would prefer a candidate with a legal background and qualifications such as a law degree, LL.B or LL.M.
- The successful candidate needs to be completely fluent in English both business English and the vernacular.
In the first instance please send your CV.