Deputy Head Of Compliance

Description:

Professionally confident you will be currently working in this sector and will have a demonstrable track record of achievement , as well as an ability to assist in developing the team

Excellent knowledge of the FCA sourcebook as it pertains to an asset management business is essential

Key Responsibilities , inter alia

• Develop and grow core knowledge and understanding of firm in order to provide accurate regulatory advice in a concise and timely manner.

• Maintain strong stakeholder relationships and an understanding of individual responsibilities

• Manage daily business enquiries with reference to the FCA’s rulebook and industry practice/guidance.

• To act as the lead trusted advisor to the asset management business

• Review, as required, financial promotions and client communications in line with Group procedure and UK regulatory requirements.

Experience

• An excellent working knowledge of the FCA Handbook, with particular emphasis on the COBS, MAR, SYSC and SUP Sourcebooks.

• Experience working on SMCR is essential.

• An excellent working knowledge of MiFID rules with regards to asset management