The Head of Compliance and Risk will be tasked with supporting the CEO and the Boards and to ensure an effective control and compliance with all regulatory aspects relating to the client's business. The candidate will hold both CF10 and CF11.

The main duties and responsibilities of the position include, but are not limited to, the following:

  • To establish and maintain a constructive and open dialogue with the FCA and any other appropriate authorities and to ensure that any regulatory reports or enquiries are handled appropriately and promptly.
  • Prepare the appropriate reports for the board demonstrating the effectiveness of the risk management and regulatory compliance framework.
  • Ensure that the compliance team activities and outcomes deliver agreed objectives in accordance with the company and regulatory procedures.
  • Ensure that senior management are kept fully informed of all regulatory matters and also that any such developments are included within the compliance and risk framework.
  • Provide guidance and advice on regulatory matters across the business.
  • Oversee the review and development of existing products and services.
  • To work across the company business lines engaging with a degree of pragmatic collaboration to find compliant solutions to business problems.
  • To develop and maintian effective relationships with various stakeholders across the business.

To be considered for this role the ideal candidate will possess the following attributes:

  • 5 to 10 years similar experience gained within the investment management space.
  • Holder of CF10 and CF11 essential
  • Advanced stakeholder management sExtensive experience of dealing with regulators and other external bodies.
  • Management experience preferred.

In return for the above my client offers a competitive remuneration package and the opportunity to join a leading investment management company at an exciting stage of their development.