A leading global investment management firm is seeking an experienced Deputy Head of Compliance to join their growing compliance team.This senior-level position offers an exciting opportunity to work in a fast-paced and challenging environment, overseeing both regulatory and AML functions while ensuring that our firm adheres to the highest standards of compliance across all operations.
Key Responsibilities:
- Compliance Oversight: Provide strategic leadership and guidance in the implementation and execution of compliance policies and procedures across the firm, ensuring adherence to all applicable regulations.
- Regulatory Compliance: Oversee the firm's compliance with local and international regulations, including but not limited to SEC, FCA, CFTC, and other relevant regulatory bodies. Develop and manage compliance frameworks for both domestic and international markets.
- AML Oversight: Manage the firm's Anti-Money Laundering (AML) program, ensuring that robust controls are in place to prevent financial crime, including the monitoring of transactions, conducting due diligence, and managing investigations of suspicious activity.
- Risk Management: Conduct compliance risk assessments to identify potential areas of exposure and recommend effective solutions to mitigate risks across all business functions.
- Training and Education: Develop and lead compliance training programs for staff, ensuring awareness of regulatory obligations and fostering a strong culture of compliance across the organization.
- Reporting and Documentation: Prepare regular compliance reports for senior management and the Board of Directors, detailing the firm's compliance status, regulatory changes, and potential risks.
- Advisory Role: Act as a key advisor to senior leadership and other business units on compliance-related matters, including product development, investment strategies, and operations.
Requirements:
- Experience: Minimum of 5 years of compliance experience in a buy-side investment management firm, with a strong background in generalist compliance functions, including regulatory compliance and AML.
- Expertise in Regulations: In-depth knowledge of global financial regulations (SEC, FCA, MiFID II, FATCA) and the ability to interpret and apply these regulations within a buy-side context.
- AML Expertise: Proven experience managing AML programs, conducting KYC and ongoing monitoring, and handling suspicious activity reporting.
- Communication Skills: Exceptional verbal and written communication skills, with the ability to articulate complex compliance issues in a clear and concise manner to senior management, business leaders, and regulators.
- Leadership: Strong leadership capabilities with a collaborative approach to working across departments.
- Analytical Skills: Excellent problem-solving and analytical skills with attention to detail, particularly in interpreting regulations and applying them to day-to-day operations.
- Qualifications: A relevant compliance certification (e.g., CAMS, ICA, or similar) is desirable. A law or finance-related degree would be an advantage.
If interested please send your CV
