Schonfeld - Compliance Director

London, England, United Kingdom+ Equity3w ago

In Office Director EMEA Asset Management Fintech Compliance Officer MBA Team Management Policy Management Change Management Performance Management

Requirements

• Bachelor's degree or equivalent; advanced degree (JD, MBA) preferred. • Prrogressive compliance experience within financial services, with meaningful exposure to asset management, hedge funds, or investment advisory environments. • Demonstrated leadership across multiple compliance disciplines (AML/financial crime, policy management, core compliance) with direct engagement with EU regulators such as the FCA. • Proven people management experience leading high-performing compliance teams. • Deep technical knowledge of AML/financial crime regulation (FATF, EU AML Directives, UK POCA, US BSA/AML), PEP/sanctions frameworks, Code of Ethics programs, and conflicts management. • Strong management, operational, and process-improvement skills with a track record of designing scalable, repeatable compliance processes and controls. • Excellent written and verbal communication skills, with the ability to engage credibly with regulators, senior management, and internal stakeholders. • Strong analytical and judgment skills, with the ability to navigate ambiguity, assess risk, and escalate appropriately. • Firm and team first in thinking. • We'd love if you had: • Previously held SMF16/17 designation. • Experience operating within or leading a Center of Excellence or center-led compliance model. • Demonstrated ability to leverage AI tools and compliance technology platforms (e.g. Microsoft Copilot, Power Automate, or similar) to enhance program efficiency. • Relevant professional certifications such as CAMS, ICA Diploma, or similar. • Familiarity with the multi-manager or alternative investment management model. • Experience leading regulatory engagement and change management across multiple EU jurisdictions.

Responsibilities

• Lead the firm's UK and larger EU Regulatory Liaison function, overseeing in-country Compliance Officers who act as SMEs and points of contact for local regulators, manage the local regulatory change agenda, and scope local requirements into the CoEs; sign off on local filings and registrations and engage in the expansion efforts of offices across Europe. • Provide overall management, supervision, and strategic vision for multiple CoEs within Central Compliance, setting priorities, resourcing, and hiring plans, and adapting program design to regulatory and business change. • Directly manage and develop a team of 3–4 compliance officers, providing leadership, mentorship, and performance management. • Oversee the firm's Global/Regional AML Program, the Investor PEP/Sanctions screening process, and all AML/financial crime-related regulatory filings. • Own the firm's Global Compliance Policies & Procedures framework, including standardized P&P templates, the P&P Review Program, and regulator/client-facing policies. • Administer the Code of Ethics Program end-to-end – including PA Dealing, Gifts & Entertainment, Outside Business Interests, and Political Contributions – alongside Conflicts Management, Compliance Training, Licensing & Registrations, Certifications, and Employee Administration. • Champion the adoption of AI and compliance technology to streamline workflows, reduce manual effort, and scale program delivery. • Be an integral and collaborative member of the London Compliance Team and the broader global Compliance department.