Head of Compliance

Our client is looking for a Head of Compliance

Client Details

A leader in their field

Description

Lead the development and implementation of our risk management framework and strategy to ensure organisational compliance with the governance standards of the Financial Conduct Authority (FCA), the Prudential Regulation Authority (PRA) and other regulatory requirements.
2.
Design and manage robust and effective systems, risk registers, control mechanisms and policies, continually assessing the compliance of all our products, services and activities with legislative requirements.
3.
Provide guidance and support to the CEO and Board of Directors on all compliance issues, including emerging legislative requirements and future implications for corporate governance. Provide monthly reports on compliance exception, breaches, risk appetite, near misses and upcoming compliance monitoring activities.
4.
Proactively address any risks to service delivery and organisational performance, identifying relevant mitigations and making recommendations to protect business interests.
5.
Develop and deliver tailored training programmes for staff and Directors on relevant subjects such as: - Conduct Rules, Regulations and Policy, Anti-Money Laundering, Whistleblowing, Complaint Handling, Integrity & Business Ethics, Data Protection, Consumer Duty, and the Senior Manager and Certification Regime.
6.
Undertake the role of Money Laundering Reporting Officer, responsible for creating and implementing financial crime policies and control measures which fully comply with the FCA's requirements. Complete monthly reviews of Anti-Money Laundering activities, risk assess internal disclosures of suspected financial crime and report to the National Crime Agency as required.
7.
Work in collaboration with other service managers to ensure systems are protected through robust and effective cyber security and that all financial operations are underpinned by appropriate risk assessments, controls and monitoring mechanisms.
8.
Proactively monitor and research upcoming regulatory changes, emerging trends and evolving best practices within the financial services industry. Continually evaluate the potential impacts on the resilience of our risk management systems and ensure the CEO and Board of Directors are fully informed regarding required mitigations and responses.
9.
Act as the Data Controller, assessing and responding to subject access requests and any other requirements under UK General Data Protection Regulations and the Data Protection Act 2018.

Profile

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Degree in a Law, Compliance and Regulation, Risk Management or related discipline (or equivalently qualified through experience).
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Significant and proven experience of working in a regulatory financial environment with a strong understanding of compliance and risk management frameworks.
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Experience of training development and delivery.
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Excellent verbal and written communication skills; confident in briefing, advising and influencing a range of different audiences.
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Strong analytical, interpretation and reporting skills with meticulous attention to accuracy.
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Committed to our values and able to challenge behaviour and processes in an ethical and principled manner.
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Highly motivated, resilient and capable of working autonomously.
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Able to manage competing demands effectively and decisively under pressure.
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Proficient in Microsoft Word, Outlook and PowerPoint.

Desirable -

Conversant with Anti-Money Laundering legislation and the requirements of the FCA, PRA and other regulatory authorities.

Job Offer

40,000

Office based

Hours of work: 35 hours and 15 minutes.

Monday - Thursday: 8.45am - 4.30pm (30 minutes unpaid lunch break)

Friday: 8.45am - 3.30pm (30 minutes unpaid lunch break)

28 days annual leave (including 3 days between Christmas and New Year) plus 7 stats.