Compliance Governance Officer

Job type:
3-6 months
Stanton House
flag_no United Kingdom
project ID:

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Our client, a leading Wealth Management organisation are looking for a Compliance Governance Officer, reporting directly to the Board of Directors to provide due diligence, governance and oversight for all fund activities. 

Key responsibilities include:

  • Managing and maintaining the UCITS and AIF governance framework, processes and procedures.
  • Establishing and maintaining all governance processes and procedures in relation to Wealth Division sponsored fund companies in the UK and Ireland as directed by the Head of Governance and Oversight to ensure compliance with regulations and business requirements. 
  • Managing all governance procedures to support board of director activities, third party vendor oversight (with Supplier Management team), cross border activities and fund operations.
  • Managing cross border registration processes to ensure continued compliance with applicable local regulation and reporting guidelines.
  • Implementing and managing the documentation retention process which provides an organised location for regulatory documents, contracts, communications, reviews and projects for the UCITS entities.
  • Remaining up to date on UCITS and AIF regulation, guidance notes and changes to law to ensure  ACD and AMD and all entities in scope remain in line with requirements.

Key Competencies include:

  • The ability to build long lasting relationships with senior stakeholders (Board level) and 3rd party suppliers to understand issues and guide the board in any changes to operating procedures and risk management.
  • Demonstrable experience of 3rd party oversight or working within structured, outsourced functions with oversight of service providers.
  • Solid understanding of core regulatory handbook, including FATCA, EMIR or CASS. 
  • Excellent communication and interpersonal skills. 

To find out more information or to be considered for this opportunity, applications will only be considered in the first instance by email. Please send your CV. The selection process will incorporate a formal interview, an assessment of the applicant's competencies, as well as obtaining written references from previous clients/employers.