Our client is looking for a Head of Compliance & Risk with 10-15 years’ of relevant experience, especially with AIFMD, MiFID, KYC and a risk background. The ideal candidate has a good understanding of fund management processes with a focus on fund of funds.
The team is small dynamic and hands on: we expect the same from our future head of Compliance & Risk. If suitable you may be able to move into the role of director.
You will:
• Act as key point of contact for regulator where relevant, and coordinate regulatory correspondence, information requests, notifications
• Maintain and further develop the compliance and risk management framework, including the risk appetite, risk register, key controls, periodic risk assessments and risk reporting, while providing independent challenge to the business and management
• Work with our external compliance advisor as well as internal audit function to ensure all of our compliance, risk and internal processes are properly maintained and executed. This includes maintaining, updating and executing our AOIB in coordination with the COO
• Advise management on the company’s compliance with laws and regulations
• Prepare and manage supervisory board meetings
• Maintain and be responsible for client KYC and implementation of the KYC processes
• Ensure all employees are educated on the latest regulations and processes
• Resolve employee concerns about legal compliance