A senior compliance leader responsible for overseeing the UK compliance function for an Investment Manager. The role holds regulatory accountability under the UK Senior Managers & Certification Regime (SMCR) for compliance oversight and anti-money laundering.
Core Purpose
Ensure the firm complies with all applicable UK regulatory requirements and maintains an effective compliance and financial crime risk framework.
Key Responsibilities
1. Leadership & Strategy
- Lead and manage the UK Compliance function
- Develop and maintain a risk-based compliance monitoring programme
- Oversee regulatory training, policies, and reporting
- Advise senior stakeholders on compliance risks and issues
- Monitor regulatory developments and implement required changes
- Ensure the function is adequately resourced and aligned globally
- Act as Money Laundering Reporting Officer (MLRO)
- Maintain systems and controls to prevent financial crime (AML, bribery, corruption, modern slavery)
- Ensure staff training and adherence to financial crime requirements
3. Regulatory Engagement & Governance
- Serve as primary contact for the UK regulator
- Report compliance issues and breaches to senior committees and regulators
- Provide regular reporting to the Board and risk committees
- Support governance forums and contribute to oversight committees
- Identify, assess, and manage compliance risks
- Investigate breaches and ensure appropriate escalation and resolution
- Provide independent oversight of compliance issues across the business
- Implement corrective actions and monitor trends
5. Culture & Fiduciary Responsibility
- Promote a strong compliance culture and ethical conduct
- Support client-focused obligations, including managing conflicts of interest
- Ensure alignment with regulatory expectations on customer outcomes
6. People Management
- Lead and develop the compliance team
- Ensure staff are trained, competent, and engaged
- Collaborate with global teams to ensure consistency in policies and standards
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