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:

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• 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.
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• Responsible for Compliance functions SMF 16 and 17
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• 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.
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• Advise on distribution of UCITS funds, Cayman and Delaware LLC private placements
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• Advise on regulatory development in the UK / EU and MENA including: or example, responsibility for AIFMD, MIFID, UCITS requirements, SFDR, GDPR, and EMIR reporting.
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• Draft/amend policies and procedures for local markets
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• Review and negotiate contracts and legal agreements : IMAs / fund distribution agreements, fund investor rebate agreements, and vendor contracts.
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• Provide oversight of compliance with all laws, rules and regulations governing the firm's FCA authorization
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• Assist as needed with the review and approval of all marketing materials
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• Manage and develop the existing Compliance team member
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• .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
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• Strong familiarity with UCITs funds including management and distribution
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• Experience of Compliance and exposure to Compliance Regulations and understanding of the responsibilities around SMF 10 and 11
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• 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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