Bruin
Head of Legal and Compliance Investment Management 15 months FTC
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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, for 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.
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Candidate Profile:
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- 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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