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Head of Compliance

  • Location: Leeds
  • Salary: c£70,000 + Benefits per year
  • Job Type:Permanent

Posted 10 months ago

  • Sector: Compliance
  • Contact: Paul Clayton
  • Contact Email: pclayton@merje.com
  • Contact Phone: 0161 883 2747
  • Expiry Date: 28 June 2023
  • Job Ref: PC/10378LS

 

Job Description:  I'm working with a leading Wealth Management business who are looking for a Head of Compliance to have responsibility for overseeing compliance within the firm and ensuring compliance with laws, regulatory requirements, policies and procedures across various advice areas.

 

The role will involve taking responsibility for the following:

Oversight of timely and accurate production of all regulatory returns (GABRIEL, FCA Connect) and MI to the FCA ensuring compliance with relevant regulatory rules.

Implementation of new regulatory returns, or changes to regulatory rules and requirements and embed these within the firm (SM&CR)

Ensure effective tools are in place for monitoring, risk within the firm, capital and liquidity, to deliver appropriate Risk MI.

Enhance the governance and control framework.

Design and implementation of the Compliance Monitoring Programme

Support the various teams through provision of regulatory guidance and help where needed.

Team and Resource management

 

Key Requirements:

Minimum Level 4 qualified

Minimum of 5 years Compliance experience within the Wealth Management space.

 

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.

If you would like this job advertisement in an alternative format, please contact MERJE directly.