Head of Investment Compliance - Europe - Investment Management

Rutherford Search Ltd
09 Aug 2017
17 Aug 2017
Contract Type
Purpose of your role

This is a new and highly visible role currently reporting to the Global Head of Investment Compliance. The primary purpose of your role is to provide leadership and clear direction to the Europe Investment Compliance team in their role of providing compliance advice, monitoring and training in respect of Europe-based investment management, dealing and research activity.

Key Responsibilities

- Manage the Europe Investment Compliance team so that they provide an effective advisory and assurance function covering all Front Office activities.
- Lead and coordinate the regulatory oversight and support, including technical advice, provided by Europe Investment Compliance to the business, primarily the Front Office.
- Enhance the profile and visibility of the Europe Investment Compliance function, developing the role of business partner and trusted advisor.
- Set priorities and goals for the Europe Investment Compliance function in the context of global team and corporate priorities; lead and manage resources effectively so that deliverables are met.
- Work in partnership with the Front office and senior management to resolve regulatory issues
- Participate as a key member of the team in the implementation of regulatory developments and consultations (e.g. MiFID II).
- Act as the central point of contact for investment compliance matters across the Europe business.
- Sponsor/manage projects with relevance to the Europe Investment Compliance function.
- Oversee the preparation and collation of management information and reports, including board reports.
- Develop and maintain effective relationships with internal and external stakeholders (e.g. regulators, external auditors, depositaries/trustees, etc.).
- Participate fully in global and regional oversight committees, and other relevant forums and day-to-day interaction with staff.
- In collaboration with the global and regional Heads of Investment Compliance, promote cross-region coordination of global policies and procedures and the implementation of best practice, support your daily decision making and that you implement and maintain appropriate controls.

Experience and Qualifications Required

- Demonstrable experience in a Compliance department within a large, global asset management firm or other comparable or relevant environment.
- Good knowledge of UCITS and NURS rules; knowledge of other fund product rules (e.g. US Investment Company Act of 1940) would be beneficial.
- Good working knowledge and understanding of fixed income and equity securities, and their derivatives
- Team player, ability to be flexible and adapt to a changing environment.
- Ability to build relationships of trust with senior management in the business and from Compliance and other oversight and control teams.
- Good IT skills including Microsoft Office, particularly Word, Excel and Outlook
- Excellent interpersonal skills; experienced communicating and consulting at all levels especially senior management both verbally and in writing