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Chief Compliance Officer - Retained Assignment

£180,000 Total Remuneration
Full Time
Greater London
29-11-2021 03:39 PM
I have been exclusively retained to identity this firm's next Chief Compliance Officer

Reporting to the CEO you will assume the dual SM16/17 functions.

They seek a confident and experienced compliance professional who can work in a fast-paced environment. This is a varied role and the successful candidate must be able to manage multiple projects simultaneously, have excellent attention to detail, and the ability to recognise and prioritise urgent requests.

It is imperative that the successful candidate is able to work autonomously when required.


Key Responsibilities


  • Responsible for governance, risk and compliance and ensuring the company operates within the regulatory framework
  • Reviewing and implementing FCA and EU regulations, keeping abreast of any regulatory changes
  • Oversight and testing of the compliance programme
  • Staying abreast of and advising the business on relevant regulatory changes, including but not limited to the FCA's SMCR regime, Investment Firms Prudential Regime, and Money Laundering Regulations
  • Interpreting the impact of regulatory changes on business and driving the implementation of proportionate and effective system and control changes to ensure compliance
  • Keeping any key stakeholders abreast of industry trends and issues, and anticipate areas of focus and attention of regulators
  • Assisting in the development and delivery of relevant and timely compliance training
  • Providing timely compliance reporting to key stakeholders on relevant matters
  • Overseeing privacy/GDPR obligations for relevant entities
  • Liaising with the FCA and overseas regulators as required
  • Oversight and monitoring of outsourced service providers (e.g., fund administrators)
  • Keeping abreast of AML, producing guidance and ensuring adherence to changes
  • Implementing risk management frameworks and ensuring alignment with board level risk attitudes
  • Providing high quality regulatory advice and guidance to the business, reporting directly to the Board highlighting compliance issues, breaches and providing recommendations for resolution
  • Establishing an annual compliance monitoring plan, full management and reporting on progress
  • Devising, writing and implementing policies, Procedures and risk assessments
  • Understanding of FCA BIPRU, AIFMD Annex IV reporting requirements and technologies
  • Preparing and submitting FCA applications e.g. Variations of Permission and Approved Persons
  • Producing and presenting both written and oral reports
  • Responsible for SMCR, identifying individuals, registering employees and conducting necessary training
  • Responsibility for internal bribery, corruption, share and gift regulations and adherence
  • Conducting and completing customer due diligence and KYC
  • Required function SM16 and SM17 (compliance oversight and anti-money laundering officer)




  • To be considered for the Chief Compliance Officer role you must have a minimum of 8 years' experience working in compliance role. You will need to have compliance management experience in an FCA regulated organization
  • Compliance qualifications would be beneficial
  • Previous experience with publicly listed entities
  • In depth knowledge of FCA and AML regulatory framework, requirements and expectations
  • Experience in governance, risk management and compliance with proven history of implementing risk management frameworks
  • GDPR experience and expertise
  • Currently or has recently held the SM16/17 functions
  • Excellent knowledge of the key areas of the FCA handbook including but not limited to AIFMD, COBS, SYSC, CASS, MAR
  • Excellent reporting abilities (written and oral)
  • Ability to lead and influence key decision makers


For a confidential conversation around this please contact Fergus Hooley

Fergus Hooley


07425 325267