Head of Compliance - eFinancialCareers : Job Details

Exclusive: Head of Compliance & MLRO – Private Equity / Alternative Asset Management Experience Required  

Ref: 4095G

£120K - £130K + Good Bonus & Benefits                                                                           Hybrid/London

We have been exclusively appointed by our Client, a Private Equity Asset Manager looking to hire a Head of Compliance & MLRO holding SMF16/17. Part of the senior management team,  duties will include;

• Performing the SMF16 role for the business including remaining current with all relevant regulatory changes that impact the business and ensuring the business and senior management remain abreast of their obligations.
• Ensuring that the firm complies, and demonstrates compliance, with all FCA, SEC and other regulatory requirements to which it is subject.
• Reviewing the Firm’s compliance programme to confirm it is meets regulatory obligations under FCA rules.
• Overseeing the implementation, administration, and ongoing monitoring of the Firm’s compliance framework.
• Managing all compliance-related reporting under the SMCR regime, including preparing and submitting regular reports to the FCA.
• Performing the SMF17 role, elevating the Firm’s AML policies and procedures to verify compliance with all Regulations.
• Administering the ongoing monitoring of AML controls, including suspicious activity reporting and risk assessments.
• Drafting quarterly and annual compliance and MLRO reports to the board, including the AML and anti-bribery risk assessments.
• Working alongside compliance consultants to undertake a quarterly compliance review.

The successful candidate must have gained significant senior compliance experience from a Private Equity or Alternatives Asset Management firm (or a Compliance Consultancy covering such). While a good working knowledge of all applicable legal and regulatory jurisdictional (UK, US, European) requirements and laws is required as important will be In-depth knowledge and experience of AML/KYC regulations and practice.

This is a fantastic opportunity for a confident and polished individual with strong interpersonal skills to join a small successful and well-established Private Equity Asset Manager in a very senior, visible and influential role. This is initially a stand-alone role within a business of circa 40 employees. So, a can do sleeves rolled up attitude is a must as is a broad range of compliance skills and knowledge.  The CEO is looking for someone who can be an internal regulatory and control leader and who has the skills and gravitas to influence at all levels including external stakeholders and the Regulators. NB the Role is 4d pw in their London office and 1d pw WFH – this can be any day.

If you feel you have the above average interpersonal skills and technical knowledge to be successful in this role, please send your details to (including a contact number & email) however please note that while we try, we cannot always reply to all applications although under no circumstance are your details ever passed on without your specific permission.