Deputy Head of UK Compliance

The Company:

Maldon Partners are currently helping a Global Asset Manager recruit a Deputy Head of UK Compliance to work directly alongside their UK Head of Compliance.

The role has been created due to expansion and is based in the West End of London.

The Role:

The Deputy Head of UK Compliance will report directly to the UK Head of Compliance and will have a focus on ensuring the Group complies with UK and EU Regulatory requirements.

Responsibilities will include but not be limited to:

• Advising the business on how to identify and manage regulatory risks
• Implement, review and develop the Compliance Monitoring Program (CMP)
• Management e.g. code of ethics, personal account dealing, gifts and entertainment
• Monitoring the policies, procedures, systems and controls
• Further develop the risk management framework and assessment process

• Advising the business specifically on the regulatory aspects of sales and marketing activity, including reviewing marketing materials and other client communications such as RFPs

• Develop and implement training programs by collaborating with Legal, Risk and Finance, and through active participation in industry forums
• Maintaining an open and co-operative relationship with the FCA, including by ensuring the timely and accurate filing of regulatory documents and contributing to ad hoc interactions with the regulator

Experience Required:

In order to apply for the role, you will have a minimum of 6 years previous generalist compliance experience from an asset/investment management business

Detailed knowledge of FCA Handbook, and working knowledge of International regulations e.g. MiFID II, UCITS, SEC

With deep technical knowledge of the applicable UK/EU regulations, the skill to apply them in "real world" scenarios with pragmatism and commercial acumen, and experience of supporting the business through regulatory implementation projects

Will be able to operate in a senior advisory capacity, but also ready to 'roll up their sleeves'

Salary:

The Deputy Head of UK Compliance role is based in the West End of London and has a base salary of cGBP75,000 - GBP100,000 depending on experience.