Head of Compliance – Asset/ Investment management

  • Competitive + Stock Options + Bonus
  • London, England, Großbritannien London England GB
  • Festanstellung, Vollzeit
  • BSM Group
  • 13 Aug 18 2018-08-13

BSM Group are currently working on an exciting opportunity for a newly created multi asset investment and asset manager based in the City. Due to recent mergers of two corporate investment managers and one payment institutions and due to significant growth in the past 12 months they have a need for a overall head of compliance and MLRO. For this level of seniority additional benefits include stock options as well as a base and cash bonus.

Key responsibilities:


  • Provide a more robust regulatory environment
  • Maintain regulatory standards within the group and be the point of contact with the FCA
  • Use business acumen and regulatory knowledge to challenge/implement key compliance policies
  • As CF10 provide leadership and management to current compliance team to ensure internal and global compliance
  • Regulatory reporting to HMRC regarding FATCA
  • Oversight of EMIR & MiFIDII reporting
  • Actively build relationships with key areas of the business to ensure compliance is involved in business processes’ and is seen as a business partner in key compliance matters as opposed to an enforcer
  • Provide a pro-active advisory service
  • Identify regulatory developments that will impact the group and clients
  • Manage investigations related to breeches or errors within compliance
  • Maintain and manage an effective compliance monitoring programme
  • Maintain a working relationship with regulators
  • Implement controls that allow the firm to monitor clients’ adherence to investment mandates, allow investors to be vetted, complaints are handled, and marketing material are handled compliantly.
  • Compliance advisory for design and structuring of new products, services and systems to ensure they meet regulatory requirements.
  • MLRO responsibility
  • Oversight of client on-boarding
  • Continue to develop the compliance function and compliance monitoring function
  • Establish relationships with other compliance professionals in similar firms to ensure compliance is at the forefront of industry standards




  • Proven understanding of regulatory rules and requirements affecting the firm and it’s products in the UK and Internationally
  • Prepared to expand knowledge of international compliance
  • CF10 responsibility or demonstrate protentional to hold CF10 within the space of a year
  • Strong investment management/ asset management business knowledge (specifically as it relates to long only and long/short investment management, good knowledge of Listed derivatives and FX
  • Able to build relationship and present information to key stakeholders
  • A decision maker
  • Commercial mindset – not just think in terms of compliance as a function, but compliance as a business problem solver
  • Results driven
  • Educated at degree level

For anymore information please email abdulalim@bsmgroup.com or call 0203 906 2677.