Head of Compliance - CF10/SMF16

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  • Salary:

    £115,000 - £135,000

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  • Published:

    over 2 years ago

Prestigious, long standing and reputable firm within the Life and Pensions sector are looking to recruit a Head of Compliance to be located in their West Midlands head office.  The Head of Compliance will be responsible for the core function of compliance across the Group, providing 2nd line Compliance oversight of the business’s compliance with Regulatory requirements with both the FCA and PRA.


  • To maintain Compliance risk within corporate appetite by making the required contribution and reports as a member of various management bodies on regulatory risk, and to provide assurance on regulatory risk to reduce conduct risk for customers and preserve and enhance shareholder capital.
  • Have specific responsibility to determine and deliver Compliance related strategic Business Development goals and objectives within agreed budget, and contributing to a customer centric and Conduct Risk focus and culture, in a multi-site and dynamic business.
  • Establish and maintain a compliance policy (defining the responsibilities, competencies and reporting duties of the compliance function) and a compliance plan (setting out the planned compliance function
  • Assessing the adequacy of measures adopted to prevent non-compliance through assurance and monitoring including outsourced services provided.
  • Adherence to the Regulatory Conduct Rules (FCA) and Standards (PRA).
  • Overseeing and ensuring compliance with the requirements of the Solvency II regime in respect of all non-prudential and conduct aspects of compliance with the Solvency II Regime and the aspects of the Solvency II Regime regulated by the FCA.
  • Advising the Board on compliance with laws, regulations and administrative provisions adopted pursuant to the Solvency II Directive and the assessment of compliance risk (being the "risk of legal or regulatory sanctions, material financial loss or loss to reputation… as a result of not complying with laws, regulations and administrative provisions…") except in respect of prudential, actuarial, accounting, capital and technical insurance matters.

Experience Required:

  • Experience of Life and Pensions Compliance
  • Proven success in a senior Compliance role (preferably as a CF10 or a senior deputy for CF10)
  • Evidence of building and managing effective stakeholder relationships
  • Proven success in Leadership and service management through delivery of strategic objectives and operational KPIs including staff engagement
  • Evidence of embedding a strong performance culture