Financial Services business, located in Cheshire, are looking to appoint a new Head of Compliance to support the business as they embark on a period of significant growth. Located out of the firms new, purpose built head office, and with a team of 3 direct reports, the Head of Compliance will ensure the firm is conducting its business with full compliance in accordance with all national laws and regulations for regulated and non-regulated activities, as well as professional standards.
•Deliver a risk-based compliance monitoring/operational compliance monitoring framework to enable senior management to effectively understand, manage, monitor and mitigate the firm’s AML, compliance and regulatory risks.
•Ensure a favourable AML and compliance relationship with the FCA, HMRC, ICO and trade associations
•Preparing for and managing any regulatory monitoring reviews and responsible for all regulatory reporting.
•Development and mentoring of the compliance team of 3.
•Review of current compliance controls and processes
•Developing guidance materials, controls and training resources
•Developing regulatory and internal compliance policies, procedures and monitoring programmes.
•Identifying, investigating and resolving non-compliant issues.
•Informing the FCA of breaches in regulations and acting as a point of contact
•Keeping the FCA register up to date with all requirements
•Reporting to the Board as required on compliance controls
•Proven track record operating at Senior Compliance Manager/Head of Compliance level.
•Excellent communication skills, able to converse at all levels throughout the business.
•Detailed and in depth regulatory knowledge with experience of various FCA handbooks
•Able to manage and prioritise workload in fast moving environment
•Self-starter, commercially focused and solution orientated