Head - Investment Compliance & Controls Monitoring

About the role

The Head of Investment Compliance is a senior leadership role accountable for Controls Monitoring, Market Abuse Monitoring and covering the end-to-end investment compliance capability. The capability includes client mandate interpretation, rule coding, pre- and post-trade monitoring, breach management, governance reporting, and continuous control enhancement across portfolios/funds managed by the Asset Management business.

What you'll do

• Lead governance routines, executive updates, and risk forums; provide clear MI and insights on compliance health, emerging risks, and remediation progress
• Act as the senior “control owner” for Investment Compliance processes, ensuring appropriate design effectiveness and sustainable oversight
• Oversee fund/portfolio onboarding and mandate change implementation end-to-end: interpretation → rule specification → coding → testing → go-live assurance
• Oversee the operational performance and control outcomes of pre-trade and post-trade guideline monitoring (automated and manual where required)
• Oversee the team’s control monitoring and market abuse monitoring outcomes

What you need

• 15–27 yrs of experience
• Compliance
• Capital markets
• Power BI
• SQL
• PowerPoint
• Documentation
• B.Com or MBA or CFA

Good to have

• CFA
• VBA
• Root cause analysis
• Internal audit