Job Description: My client is currently seeking to employ a Head of Compliance to lead, manage and develop the Compliance Function and to hold the FCA Senior Manager Functions of SMF16 – Compliance Oversight and SMF17 – Money Laundering Reporting Officer.
Key responsibilities include:
• Keeping up to date with regulatory and legislative changes that could impact upon the business in particular any key changes relevant to Defined Benefit and pension transfers.
• Implement any regulatory changes with other stakeholders within the business.
• Provide day to day advice and guidance to the business on compliance and risk management related matters.
• Development and creation of the annual compliance plan, methodology and processes including risk assessment to establish the regulatory adherence to legislation by the business.
• Undertaking the monitoring work and liaising with the business to discuss any issues identified and remedial action required.
• Be the main regulatory liaison with the FCA.
• Ensure appropriate and regular training of all employees in compliance and financial crime matters and any new legislative changes.
• Ensure that the Training and Competency framework is in place and that procedures and records are up to date.
• Ensure internal registers are kept up to date.
• Coordinate and submit all regulatory returns, applications and notifications as required.
• Implement compliance related policies to the business.
• Completion of file reviews and quality assurance checks.
• Full initial and ongoing compliance support for the development of the wealth arm of the business.
• Ad hoc duties to support the wider business from time to time.
• Ideally you will have prior experience of defined benefit pension transfers and hold the Level 4 Diploma in Financial Planning or already be working towards this.
• Previous experience of working in a senior compliance role in Financial Services
To discuss the role in greater detail please contact Paul Clayton on 0161-883-2747 or send through your CV to email@example.com
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.