Our Client is a family-orientated financial services business that are hiring an astute Head of Compliance to ensure the business is adhering to regulatory developments and maintaining a robust compliance posture. You will work in a vibrant and busy environment surrounded by a business that is continually growing.
Key Responsibilities:
• Horizon scanning of new regulatory changes and maintaining oversight of developments impacting the firm’s activities.
• Identify compliance risks and developing communication lines with appropriate controls within the regulatory framework.
• Produce accurate quarterly and annual reports for the senior management team with key statements.
• Embed the core principles of customer regulation into the general sales and operational teams and develop and maintain the compliance monitoring framework.
• Manage the compliance monitoring team, including giving performance feedback and appraisals and educating all relevant members on regulatory requirements.
• Proactively review current or new policies, procedures and business practices to identify needed compliance changes.
The Ideal Candidate:
• Extensive Financial Services experience with the ability to demonstrate knowledge of the consumer credit market, including insurance distribution.
• Ability to gain FCA approval to hold the SMF where required.
• Knowledge of all legislation and regulatory bodies relevant to the industry and confidence in taking own initiative and identifying opportunities to enhance the customer journey.
• ICA Diploma or equivalent in compliance is preferable but not essential.
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.
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