Senior Compliance Officer - CF10

Paragon Personnel ,
London, Greater London
More Details
Job Type: Full-time
Salary: £120,000 per annum

Overview

Senior Compliance Officer - CF10 (SMF16) Salary: £120k-£150K Company Overview: My client is an award winning investment manager platform catering to liquid and non-liquid investment strategies. Role summary: Reporting directly to the Managing Directors and the Head of Compliance, you will be holding a SMF16 / CF10 function for one of the firms regulated entities. You will be overseeing the compliance function covering a diverse portfolio of regulated sub-entities (Liquid and non-liquid fund managers, corporate finance advisers, investment managers). This role will work closely with the Group risk and compliance function to take responsibility for implementing the group’s Compliance Framework. This is an outstanding career opportunity to broaden the compliance knowledge within one of the leading Regulated Platform firms. Responsibilities : Oversee the re-vamping of the internal compliance framework including policies and procedures Lead change management efforts to re-work and improve systems and controls across the regulated entity Provide insight and maintain ongoing knowledge of the relevant key regulatory topics within AIFMD, MIFID II and UK FCA regulations Attend and report to the Compliance Committee of the firm Conduct periodic calls with senior clients of the firm to discuss their compliance activities and monitor their conduct Perform a variety of special compliance projects and thematic reviews and sign-offs Lead or contribute to delivery of risk-based compliance monitoring reviews from planning to completion Build partnerships with various senior stakeholders across the business Work collaboratively with the wider compliance teams to ensure consistency in all areas Promote strong regulatory awareness within the business Lead or assist to the regulatory reporting requirements Technical Skills & Qualifications: Min 6 years of experience in a compliance capacity within an FCA regulated Investment firm Prior experience holding a Significant Compliance Management Function (SMF16 - CF10) Excellent understanding of risk based monitoring and practical application of systems and controls Know-how about the wholesale appointed representative’s model would be useful

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