Head of Legal and Compliance Investment Management 15 months FTC

Our Client a Leading Global Investment Management firm is seeking a Head of Legal and Compliance for a long term (15 months) FTC

Based in the firm’s central London offices with Flexible working

The role:

• Lead the legal and compliance framework supporting the firm’s UK’s UCITS fund distribution activities across the UK, Europe, Asia, the Middle East and other global markets.
• Responsible for Compliance functions SMF 16 and 17
• Partner with third-party management companies, distribution partners to negotiate and maintain distribution agreements, review fund documentation, and support new market registrations and ongoing cross-border distribution.
• Advise on distribution of UCITS funds, Cayman and Delaware LLC private placements
• Advise on regulatory development in the UK / EU and MENA including: or example, responsibility for AIFMD, MIFID, UCITS requirements, SFDR, GDPR, and EMIR reporting.
• Draft/amend policies and procedures for local markets
• Review and negotiate contracts and legal agreements : IMAs / fund distribution agreements, fund investor rebate agreements, and vendor contracts.
• Provide oversight of compliance with all laws, rules and regulations governing the firm’s FCA authorization
• Assist as needed with the review and approval of all marketing materials
• Manage and develop the existing Compliance team member
• .Advise and train staff to understand and apply all compliance requirements.

Candidate Profile:

• Qualified Lawyer with in-house experience in Investment Management at an FCA authorized discretionary management firm
• Strong familiarity with UCITs funds including management and distribution
• Experience of Compliance and exposure to Compliance Regulations and understanding of the responsibilities around SMF 10 and 11
• Experience with all requirements of a compliance officer responsible for an FCA authorized office including: regulatory filings, drafting policies and procedures, retaining required books and records, the training and supervision of employees, KYC/AML review, review of marketing materials, and the general development, oversight, and daily implementation of an FCA compliant compliance program.

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