We are working exclusively with our financial services client who are looking for a Compliance Director to be responsible for ensuring that the company has effective and well documented regulatory compliance arrangements in place to meet FCA requirements. The role holder will also be responsible for the Training and Competence Scheme as well as providing advice and support on a wide range of regulatory, governance and risk management matters.
Key responsibilities include:
- Lead and direct the Compliance and T&C supervision teams ensuring that activities and resourcing are aligned to the needs of the business and the demands of the regulatory environment.
- Ensure that the company has a fit-for-purpose set of compliance arrangements which is clearly documented, including in a Compliance Manual, and in policies and guidance documents, and that these are well communicated, rolled out, trained in and embedded across the business.
- Oversee the completion and timely submission of regulatory forms and returns to the FCA and ensure that appropriate responses are made to FCA requests.
- Maintain effective working relationships with the FCA, including working with the business to ensure that the company provides a thorough, accurate and timely response to FCA requests.
- Lead and direct the technical compliance advice and policy team, ensuring the quality and timeliness of advice and guidance provided and further developing the policy suite.
- Proactively identifying and evaluating emerging regulatory developments and trends, new rules and requirements and market practices and ensuring that their relevance and impact on the business is fully accessed and communicated and that appropriate preparations are made by the business.
- A strong and capable leader who is able to lead and develop teams and provide clear direction and guidance
- 10 + years’ of relevant broad based Compliance/Regulatory experience within the Wealth Management/Financial Planning or Retail Investment Management space
- Deep knowledge of FCA regulatory requirements and of FCA’s expectations of regulated firms
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.