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Head of Compliance (UK) - Summary

A senior compliance leader responsible for overseeing the UK compliance function for a  Investment Manager. The role holds regulatory accountability under the UK Senior Managers & Certification Regime (SMCR) for compliance oversight and anti-money laundering.

Core Purpose

Ensure the firm complies with all applicable UK regulatory requirements and maintains an effective compliance and financial crime risk framework.

Key Responsibilities

1. Leadership & Strategy

• Lead and manage the UK Compliance function
• Develop and maintain a risk-based compliance monitoring programme
• Oversee regulatory training, policies, and reporting
• Advise senior stakeholders on compliance risks and issues
• Monitor regulatory developments and implement required changes
• Ensure the function is adequately resourced and aligned globally

2. Financial Crime & AML Oversight

• Act as Money Laundering Reporting Officer (MLRO)
• Maintain systems and controls to prevent financial crime (AML, bribery, corruption, modern slavery)
• Ensure staff training and adherence to financial crime requirements
• Oversee first-line controls managing financial crime risk

3. Regulatory Engagement & Governance

• Serve as primary contact for the UK regulator
• Report compliance issues and breaches to senior committees and regulators
• Provide regular reporting to the Board and risk committees
• Support governance forums and contribute to oversight committees

4. Risk Management & Advisory

• Identify, assess, and manage compliance risks
• Investigate breaches and ensure appropriate escalation and resolution
• Provide independent oversight of compliance issues across the business
• Implement corrective actions and monitor trends

5. Culture & Fiduciary Responsibility

• Promote a strong compliance culture and ethical conduct
• Support client-focused obligations, including managing conflicts of interest
• Ensure alignment with regulatory expectations on customer outcomes

6. People Management

• Lead and develop the compliance team
• Ensure staff are trained, competent, and engaged
• Collaborate with global teams to ensure consistency in policies and standards

Contact information

Nimesh Dave