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Head of Risk and Compliance
Hertfordshire
c£100,000 + Benefits
We are currently recruiting for a Head of Risk and Compliance on behalf of our client, a highly regarded SME fintech business based in Hertfordshire.
The key purpose of the role is to provide a practical, hands-on and delivery focused Risk and Compliance service to the shareholders, directors and employees of the company.
Key Responsibilities
- Keep the business and its leadership team safe from regulatory sanction.
- Leading and managing a small Compliance team to ensure processes, procedures and services delivered adhere to the regulations that apply to FCA regulated businesses.
- Ensuring that all relevant regulatory requirements are met, including the FCA’s Conduct Rules and Principles.
- Monitoring and briefing directors and the senior leadership team on regulatory themes and pronouncements as needed.
- Providing Compliance and AML oversight.
- Acting as the Data Protection Officer.
- Ensuring that all Director’s applications or removals to the FCA are undertaken in a timely manner.
- Chairing the Risk Committees.
- Taking ownership the Training and Competence Scheme, ensuring (in conjunction with HR) that it is suitably documented and monitored annually.
- Managing and carrying out the Compliance Monitoring Plan in order to analyse the company's compliance with regulatory requirements.
- Creating and delivering the annual compliance review programme, ensuring reviews are undertaken in a timely manner.
- Overseeing and having input into the company's complaints management service.
- Analysing regulatory and procedural breaches.
Key Requirements
- Minimum of 15 years experience in Financial Services, preferably in Investment and Life Protection, with at least 10 years in the Compliance sector.
- Proven experience of managing a small Compliance team, working at all levels from daily sanction checks to reporting to the Board at senior level.
- A Degree holder with appropriate qualifications in financial services.
- Have held SMF16 and SMF17 in previous roles.
Keywords: Head of Risk and Compliance; Risk and Compliance; Risk; Compliance; Fintech, FCA, Financial Services
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