Up to c.£80,000 per annum plus benefits
North West England / Scotland
Our client is a well-established and fast expanding financial services group.
As they continue to expand their UK operation they are keen to appoint a Head of Compliance to drive the regulatory agenda across their business areas and offices nationwide.
This is a strategic and tactical leadership role which carries the following responsibilities:
- Ensuring the company strictly adheres to the regulatory standards required by the Financial Conduct Authority (FCA).
- Lead, manage and motivate the compliance and complaint handling team to ensure that they operate at a consistently high standard.
- Monitoring and interpreting any regulatory developments, changes and enhancements – ensuring that any impacts on the business are highlighted and assessed.
- Evaluating and procedural or policy changes are evaluated, identified and actioned.
- Contributing to ongoing risk assessments to ensure that policies and controls in place are robust and appropriate.
- Reporting current, emerging and thematic risks and issues at senior management level.
- Ongoing compliance monitoring across the company to maintain compliance standards and highlight any risks associated with new product launches or enhancements.
- Overseeing all FCA reporting via Connect and Gabriel and being the key point of contact with the FCA.
We are keen to receive applications and enquiries from experienced compliance professionals who possess the following:
- Strong leadership skills and able to communicate and perform in a complex environment.
- Strong negotiation and influencing skills with the ability to reach an acceptable and amicable, compliant resolution.
- An expert knowledge of FCA expectations, obligations and requirements.
- An excellent attention to detail and able to focus and resolve key and critical issues.
- Able to train and develop colleagues spread across a number of locations.
- Able to articulate decisions and issues with a range of key stakeholders up to board level.
- A knowledge of anti-money laundering would be an advantage as would someone who holds CF10 and CF11 Controlled Persons status.
In the first instance send your CV in confidence to Susan Woodnett email@example.com