• 15 September 2008
• Reference: JR201928

• Head of Compliance - Alternative Asset Management

• City of London Competitive Permanent

Our client is a West End based provider of alternative investment products for institutional investors worldwide. It is looking for an experienced professional to head its Compliance function. Main duties and responsibilities will include:

Conducting day-to-day, intra-month and month end compliance monitoring checks.
Conducting systematic reviews of the business to meet regulatory and business needs.
Designing additional reviews where changes in operating processes or regulatory requirements present new challenges.
Drafting compliance review reports and establishing internal operating procedures.
Assisting dealing and investment management staff with relevant compliance issues (e.g. trade allocation, best execution, conflicts of interest management, market abuse).
Contributing to the maintenance and periodic update of the Company's compliance manual, including employee training as required.
Remaining abreast of relevant regulatory developments and their implications for the Company.
Maintain and monitor the Compliance Monitoring Program and liaison with all business areas.
Report on findings of the compliance monitoring programme with suggested recommendations.
To ensure compliance information is held securely and that record keeping requirements are adhered to.
Providing guidance and advice across the business on an ad-hoc basis;
Reviewing and approving financial promotions and other marketing materials;
Ensuring that all the AML rules and regulations are complied with - including KYC and client on-boarding;


This role would suit a candidate who has previously held the CF10/ CF11 title.

You must have a good understanding of Compliance by gaining experience within the financial industry preferably with Asset Management or Hedge Fund houses. Compliance monitoring experience essential

A team player as well as being able to work on own initiative.

Self motivated with strong analytical skills.

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Keywords related to this job

• Compliance,
• CF10 / CF11 (Senior Compliance),
• City of London,
• Permanent,
• Hedge Funds,
• Alternative