• GBP100000.00 - GBP120000.00 per annum
  • London, England, United Kingdom
  • Permanent, Full time
  • JCW Search
  • 2018-11-05

Head of Compliance

  • Salary: GBP100000.00 - GBP120000.00 per annum
  • Location: London, England, United Kingdom
  • Job Type: Full time
  • Company: JCW Search

Currently recruiting on behalf of an Investment Management firm based in Mayfair for a Head of Compliance to join their business. The role will be part of a small team and will cover all elements of compliance and data protection, and would be ideally suited to someone looking to make the move into a more senior position. Whilst this role is based in London, the firm is part of a wider, Global business and would provide an International element to the position.

Currently recruiting on behalf of an Investment Management firm based in Mayfair for a Head of Compliance to join their business. The role will be part of a small team and will cover all elements of compliance and data protection, and would be ideally suited to someone looking to make the move into a more senior position. Whilst this role is based in London, the firm is part of a wider, Global business and would provide an International element to the position.

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 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

  • 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.