Head of Compliance

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  • Salary:

    £60,000 - £70,000 + Benefits

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  • Published:

    almost 2 years ago

Our client is a well-respected financial services organisation looking for a Head of Compliance to ensure the organisation conducts business in accordance with the FCA rules, and the firm's policies and procedures and will take on CF10 responsibilities.

The role-

  • Monitor industry and regulatory developments relevant to the business
  • Interpret regulatory rules and work with the business to ensure compliance is maintained as regulations change and industry understanding evolves and develops
  • Partner with the business to enhance and foster a culture of compliance and professionalism
  • Work with the business to design new (and/or enhance existing) procedures that are both compliant and business efficient
  • Support colleagues and the business to manage regulatory and other business risks
  • Identify regulatory and business risks and develop the control environment accordingly
  • Undertake monitoring activity (including office visits) to identify weaknesses in the control environment and breaches. Work with the business on appropriate action to be taken to manage any breach and ensure controls are established to minimise the likelihood of, and /or impact of further breaches


Key Requirements-        

  • A strong understanding of FCA regulation and the financial services environment in the UK. Proven experience of working in a compliance / risk department
  • Demonstrable knowledge of relevant regulation in the UK
  • A reasonable knowledge of any relevant EU legislation
  • CEMAP qualified or equivalent