Associate Director, Risk, Compliance, Financial Crime and Finance Broadgate
Head of Compliance
Overview
Seeking an experienced compliance professional to lead and manage day‑to‑day compliance. As the Head of Compliance you will take the lead on compliance standards, improve and monitor regulatory controls, and ensure compliance maintains high‑quality client outcomes.
Key Responsibilities
* Develop and maintain regulatory compliance policies and procedures, ensuring the highest standards in line with investment management regulatory obligations and expectations, including MiFID, SMCR, CASS, and Consumer Duty.
* Provide 2nd line challenge and oversight to Investment teams, including performing pre‑ and post‑trade surveillance.
* Provide compliance advice and guidance to the business on regulatory requirements and impact, ensuring they are understood and consistently embedded.
* Review and challenge best execution and transaction reporting.
* Ensure appropriate systems and controls are in place to achieve the company’s strategic goals and protect its clients.
Experience & Qualifications
* Previous experience in a Senior Compliance role within the Investment/Asset Management sector, including discretionary investment management and investment funds.
* Excellent understanding and knowledge of all relevant regulatory rules, particularly MiFID, SMCR, PROD, and Consumer Duty.
* Experience leading and managing teams.
* Investment Management Compliance qualification preferred.
Seniority level
Not Applicable
Employment type
Full-time
Job function
Finance
Industries
Investment Management
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