Resource Management

Resource Management 33 Windsor Pl, Cardiff CF10 3BZ, UK
Aug 11, 2018
Our Client is a growing Investment Management company with exciting plans for the future. They are looking for a motivated Head of Compliance to join their Cardiff based team to take ownership of all compliance, risk management and regulatory functions. Key Responsibilities: Responsible for the Compliance Monitoring Programme, including testing, analysis, identifying improvements or remedial actions, and presenting findings to senior management and/or the Board Assisting management in develop and implement a Risk Management Programme including organizing analysis, performing audits and making recommendations for risk mitigation Reviewing and signing off financial promotions and other marketing material in accordance with FCA rules and internal policies Client account monitoring processes for AML and market abuse. Ensuring the effective implementation of company compliance policies and procedures Key Skills & Experience required: Experience within a compliance function in an FCA regulated Investment based company Good understanding of the UK regulatory landscape ideally from working within Wealth/Investment Management Experience of providing governance, controls and compliance advice for new product development Excellent communication and influencing skills Excellent management skills