Head of Compliance - Investment Management

MERJE has been exclusively instructed to support a highly regarded Investment Management firm in their search for a Head of Compliance & Risk.

You’ll be responsible for overseeing the Compliance & Risk teams, engaging in a diverse range of tasks. This is a really exciting role where you will be responsible for:

• Taking on the SMF 16 and SMF 17 remit
• Provision of technical advice, support & regulatory guidance
• Leading the implementation and maintenance of robust systems, policies, and controls to ensure compliance with regulatory standards, covering areas such as risk management, governance, anti-financial crime, and data protection.
• Reporting directly to Boards and Committees on all compliance matters
• Development & oversight of the annual compliance monitoring programme
• Managing regulatory permissions while fostering effective relationships with the FCA
• Embedding consumer-focused governance across all levels to ensure alignment with the FCA Consumer Duty, ensuring products and services meet market needs and deliver positive outcomes
• Reviewing and implementation of compliance policies & procedures

Experience/Skills/Qualifications:

• 8-10 years + broad Compliance experience ideally gained within an Investment Management environment
• Previously held SMF16 & 17
• Strong relationship-building skills with the ability to engage with stakeholders at all levels across the business
• Team management experience - ability to lead and inspire
• Thorough knowledge of the FCA’s regulatory rules appropriate to the investment management space
• Attention to detail and strong analytical skills, capable of logical thinking, using initiative, and systematically resolving problems
• Strong academic background (relevant compliance qualifications such as CISI desirable)

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

If you would like this job advertisement in an alternative format, please contact MERJE directly.