Head of Compliance

Recruiter
Eaton Vance
Location
London
Salary
Competitive
Posted
20 Jun 2019
Closes
18 Jul 2019
Sectors
Management
Contract Type
Permanent
Hours
Full Time

The company is a leader in pioneering innovative investment strategies that address investor needs amid changing market environments.

  • Overall executive responsibility for all correspondence and regulatory filings, reports with the Central Bank of Ireland.
  • Identify regulatory initiatives relevant to EVGA.
  • Provide guidance to the Board, senior management, staff and employees on compliance matters
  • Oversee and monitor the implementation of the compliance programme.
  • Develop policies and programmes that encourage employees to report red flags including, although not limited to, regulatory breaches, fraud etc. without fear of retaliation.
  • Respond to regulatory investigations and queries as key point of contact in addition to the company's Chief Legal Officer.
  • Coordinate with the Head of Investments to maintain the relevant control and oversight of the delegated investment managers.
  • Arrange and support the necessary suitability checks on prospective EVGA clients; coordinate the collection of KYC data and documentation and any relevant Compliance due diligence information for clients and distribution agents.
  • Prepare and maintain the regulatory Business Plan of EVGA to be approved by the Board and, to be lodged with the Central Bank.
  • Ensure compliance with adopted Corporate Governance Code
  • Bachelor's degree or equivalent.
  • Minimum of 8 years of Compliance experience.
  • Sound knowledge of Central Bank of Ireland regulation and regulatory issues that could affect and investment manager and distributor.
  • Knowledge and experience of fund products.
  • Ability to work with the business and build smooth working relationships.
  • Able to prioritize in fast moving, constantly changing environment.
  • Analytical and problem solving skills with excellent attention to detail.
  • Highly developed written and oral communication skills.
  • An ability to establish credibility at the most senior levels with the firm.
  • Excellent organisational skills and the ability to manage multiple tasks and meet strict deadlines.

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