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Head of Compliance/MLRO

Full Time
City of London
28-02-2023 02:23 PM

My client is a progressive renewables and private equity investor

You will lead the small compliance team

Expectations are that you would physically be in the office for two days per week

Main purpose of job:

The candidate will be responsible for overseeing and implementing regulatory compliance policies and procedures. You will work closely with investor relations stakeholders to ensure publications and announcements comply with AIFM policies and regulatory expectations.

Responsibilities, duties and tasks:

· Oversight of compliance for the firm

· Money Laundering Reporting Officer (MLRO)

· Review fundraising and investor-facing documentation to ensure compliance with MAR and FCA requirements, providing concise, accurate and helpful support to colleagues

· Maintain and assess effectiveness of compliance and monitoring policies and protocols

· Maintain various logs and entries required to ensure compliance with GDPR, MAR regulations and compliance monitoring processes

· Monitor and announce open and closed periods

· Track regulatory developments and provide risk and compliance updates and reports for committees, board and annual meetings

· Horizon scanning for legal and regulatory change affecting the Compliance function

· Submit FCA filings

· Manage SMCR requirements of the firm

General duties:

· Review all public-facing documentation to ensure compliance with legal and regulatory expectations

· Line manage one direct report

· Assist in monitoring compliance with company compliance trainings

· Prepare and deliver relevant compliance training

Person Specification


It is essential that the post holder has:

· Excellent working knowledge of FCA Handbook and regulatory expectations

· Relevant experience working in compliance within the private sector and/or at the regulator.

· Some knowledge of MiFID

It is desirable that the post holder has:

· Exposure to renewables industry


It is essential that the post holder has:

· Excellent reading, comprehension and writing skills

· Attention to detail and discipline with deadlines

· Self-motivated and pride in work product

Skills And Abilities

It is essential that the post holder has:

· Legal or compliance qualifications preferred

Other Requirements

· Team player who can work closely with a variety of different stakeholders, but who isn’t afraid to provide challenge when necessary

· Impeccable commitment to customer focus

· A positive ‘can-do’ attitude

· Flexible approach

· Excellent attention to detail

· Reliable and accountable

Fergus Hooley


07425 325267