Head of Compliance - 1-2 Days Per Week(Exclusive)

JOB PROFILE Key responsibilities Assumption of CF10/11 roles. Code of Ethics. Contribute compliance knowledge to all aspects business operations. Help to continually improve the culture of compliance among all staff. Compliance Monitoring Programme Execute the firm's Compliance monitoring and testing programme with appropriate board reporting. Monitoring/documenting/approving personal trades, outside business interests, gifts and entertainment requests (very low volume). Organise and maintain all Compliance files and records, including approved marketing materials, investor categorisation records and the breaches/complaints logs. Keeping current on all corporate Compliance filing requirements/deadlines and working with Finance to ensure timely completion (e.g. FSA001/2/3s, AIF001/2s etc.). Projects Ongoing development of policies and procedures for firm-wide administration of Compliance issues. Deal and Investor KYC. Undertaking KYC and anti-bribery corruption and sanctions checks on investment transactions and co-investors. Supervise/review/advise on KYC work performed by other team members on new investors. Registrations and Training. Assist in on-boarding new hires and maintain training logs and the approved persons list (very low volume). Deliver regular (semi-annual/annual) training sessions to keep employees up to date with AML/Anti-Bribery requirements etc. REQUIREMENTS PROFILE The future employee should have considerable industry experience covering compliance in a variety of financial institutions. Apart from banking/financial operational expertise the appropriate candidate should have the following skills/ qualities: Successfully graduated from a higher education institution. Legal, risk, Compliance or broad banking background General understanding of alternative investments businesses and products Ability to learn quickly and be well organised Ability to work effectively in a team environment, as well as independently Excellent communication and negotiation skills General knowledge of the concepts of conflicts of interest Strong attention to detail Role will be part time - 2 days a week to start with. May vary over time