Vacancy Details

Job description

Our Client is a specialist investment boutique based in the West End of London.  It is a small, friendly and highly professional firm which is growing rapidly. 

We are looking for someone who will have dual reporting lines to the CEO and Group CEO.

The holder of this role will have a wide brief covering ACD/fund admin/fund accounting/investment management as well as wealth management, product development and distribution.

There is potential for equity participation.

 Key Services/Responsibilities

1. Compliance & MLRO - You will put procedures in place which are more formalized as well as Compliance monitoring programs.  You will provide regular updates to employees and the Board.  You will also be involved in compliance training to ensure that employees understand the regulatory environment in which they work.  This should extend into the development of individual training plans.
2. Risk Management - You should identify the risks, their management, responsibilities and reporting.  You should then put the enhanced processes in place and monitor same on an ongoing basis.
3. New Business - You will be closely involved iwth new business proposals from a risk and regulatory perspective to ensure that risks are identified and that regulatory aspects are covered off.
4. Corporate Governance - Key framework components will include: Policies and procedures for third party services; Financial control policies and rules; Risk framework; Business recovery; Staff policies; Internal control processes.

Experience Required

The successful candidate must have at least 10 years compliance and risk management experience relevant to Asset Management.

The individual should possess the following experience:

• Thorough understanding of QIS, NURS & UCITS regs
• Thorough understanding of the COLL regs in general and MIFID
• Good understanding of the likely impact of AIFMD, UCITS 1V, RDR
• Good understanding of UK Fund structures and general knowledge of off-shore Fund structures
• Good knowledge of Fund operations, Fund accounting and/or transfer agency functions
• Good knowledge of asset classes and the investment policy process
• Good familiarity with hedging techniques and FX hedging
• Knowledge of the UK Asset Management market
• Proven capability to evaluate and assess Fund and business risks

In addition the successful candidate should possess the following personal qualities:

• Be able to translate, interpret and adapt regulation into practical circumstances
• Be a team player, highly motivated, punctual, disciplined, customer focused and able to work in an unsupervised environment
• Be prepared to be flexible in both attitude and practice and be prepared to help out whenever required

Ideally, candidates will have a relevant professional qualification.

Remuneration

The following terms will apply:

• Basic salary negotiable based on experience
• Discretionary, performance related, annual bonus
• Life cover
• Medical cover
• Company car allowance
• 25 days holiday
• Company iphone

• Front Office
• Sales / Marketing / Product Development
• Operations
• IT