Head of Business Controls

Our client is a successful investment management boutique. Due to continued company growth and success, they are now looking to recruit a Head of Business Controls on a permanent basis.

Due to the nature of this role, candidates must have previous buy-side experience.

The Head of Business Controls will take responsibility for the following duties:

1. Compliance
   • Responsibility for business controls for compliance with a Type I and II ISAE 3402 / AAF 01/06 / AAF 01/20 report.
   • Ensure compliance monitoring meets all regulatory requirements.
   • Responsibility for GDPR Policies.
2. Oversight of Outsourced Providers
   • Ensure compliance monitoring meets all regulatory requirements and performing due diligence on all outsourced providers, ensuring alignment with SLAs.
3. Oversee and manage the IT infrastructure of the firm.
4. In conjunction with the COO, ensure the smooth running of the operations function
   • Portfolio accounting.
   • Year-end reporting.
5. Enhance existing operational processes.
6. Represent the firm in operational due-diligence meetings.
7. Assist the COO with project work.

The Head of Business Controls must meet the following skill set:

1. 10 to 15 years' experience in a compliance role at a buy-side firm, with exposure to other operational functions (IT, trade support, and onboarding of new clients) at an asset management business.
2. Experience dealing with regulatory bodies such as the FCA.
3. Experience with both AIFs, including ICAVs and DSTs, and UCITS.
4. Experience in controls audit.
5. Experience establishing separately managed accounts.
6. Understanding of trade operations and the trade order flow process.
7. Understanding and dealing with the servicing demands of sophisticated institutional investors.

This is a rare and exciting opportunity for a buy-side professional with strong compliance and operations experience to assume the role of Head of Business Controls.

If you believe your background meets the criteria, please apply with your CV. Note, only successful candidates will be responded to.

Mason Blake is an equal opportunities employer and welcomes applications regardless of sex, marital status, ethnic origin, sexual orientation, religious belief, or age.