Chief Compliance Officer - Investment Manager

☞ Avenell Search Ltd

View: 107

Update day: 07-05-2024

Location: Marlborough South West

Category: Legal / Contracts

Industry: Legal Services Financial Services Investment Management

Position: Executive

Job type: Full-time

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Job content

Chief Compliance Officer – Investment Manager Based: London / flexi Avenell Search has been instructed to find an experienced regulatory professional to lead the small compliance team at this boutique investment management firm. This is an excellent opportunity to join a firm that is well established yet remains commercially nimble and has continued growth plans. The role will suit a commercially minded senior compliance professional, ideally a previous CF10/SM16 but that element is not a necessity as long as you are technically strong and adept /comfortable presenting at Board level and in front of clients. Responsibilities, in brief: Manage and enhance the risk-based compliance program in support of applicable regulatory requirements Implementing regulatory changes; continue to develop policies and procedures, and related controls to conform with group standards Addressing compliance queries from the business; Compliance related projects; Increasing Compliance awareness. Required Skills and Experience: Minimum 7 years of regulatory or compliance related experience, with demonstrated expertise in investment management regulation Ability to interface with senior management in all functional areas including presentations, issues management and the ability to enforce policies; Comfortable with ambiguity and has the dexterity to adjust as needed. Understand key business risks, marketplace and regulatory environment. Experience establishing themselves as a credible voice at the table; Strong written and verbal communication skills; Team player with strong collaboration and project management skills;
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Deadline: 21-06-2024

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