Director of Compliance & MLRO SMF16&17 – Asset Management

🏡 Flexible- Remote/ Hybrid but access needed to Head of Office based in the South

Managing a team of 6, whilst ensuring that the Group achieves operational adherence to regulatory requirements and expectations.

• Formulate the firm’s compliance strategy based on government legislation and the FCA’s rules and guidance on best practice, manage the implementation of compliance policy and establishment of adequate in-house controls and compliance procedures.
• Maintain an effective consultancy, monitoring and advisory Compliance resource for the Group.
• Assist the Board in the achievement of Regulatory Priorities in relation to Conduct Risk and Consumer Duty.
• Produce, agree, implement, supervise and review strategic and business plans for the Compliance function, including the Compliance
• Monitoring Plan, in order to contribute to the overall compliant operations of the  Group.
• Attend Group Management and Board meetings as required.
• Undertake Money Laundering Reporting Officer responsibilities. Report as necessary to Board/senior management on money laundering matters and ensure that appropriate anti-money laundering procedures, controls and risk appetite are in place across the Group.
• To maintain visibility of the broader spectrum of financial crime risks (e.g. fraud, bribery); to take action where appropriate to mitigate those risks, and to report/escalate accordingly through line/senior management.
• Provide guidance and training to other members of Compliance and Group staff, where required.

✉️ If you are interested to find out more and have experience of working in an Asset/Fund Management environment at an SMF level, get in touch with Matt Carter

matt.carter@broadgatesearch.com