Head of Compliance

2 weeks ago

Borehamwood Hertfordshire, United Kingdom Spring Finance Limited Full time

· Responsible for promoting awareness, adviceand assurance relating to Springs legal and regulatory obligations

· Responsible for compliance oversight to provide assurance onSpring’s adherence to the FCA’s rules 

· Create and ensuringdelivery of the firms Compliance Assurance Plan (CAP)

· Provideregulatory advice to the business relating to new and existingprocesses and products

· Maintain relationship with the FCA andhold responsibility for any regulatory notifications

· OverseeSprings Complaint Handling Framework, ensuring complaints are dealtwith promptly, fairly and identify and address any root causes tominimise repeated complaints

· Responsible for regulatoryhorizon scanning to ensure that Spring’s senior management are advisedof, and can respond to, any regulatory change

· Review andrecommend enhancements, where required, to management information toensure that customer outcomes and potential customer detriment can bereasonably managed 

· Review and develop an annual trainingplan to ensure that Springs staff have sufficient knowledge todischarge their roles

· Ensure that FCA returns that are theresponsibility of Compliance are accurate and submitted in time.

· Responsiblefor ensuring controls are in place for prevention of financial crime,including money laundering, being carried out or facilitated bySpring. 

· Responsible for assessment and management of keyfinancial crime risks inherent in the firm’s business activity and forreviewing it in conjunction with the Financial Crime preventionpolicies 

· Maintaining up to data knowledge of JMLSG guidance,latest issues and legislation concerning financial risks from moneylaundering

· Receiving and dealing with suspicious activityreports from all areas of the business and maintaining appropriaterecords

· Ensuring any material risk or incident relating tofinancial crime or money laundering is reported to the MLRO with arecommendation of suggested action

· Work with the MLRO inproviding an annual MLRO report to the board on AML/ financial crimecompliance within the firm.

· Minimum 10 years relevant working experience in aregulated UK financial services firm

· Proven ability to leadeffective oversight of compliance, risk and governance

· Strong financial service background gained in FCA regulated firms 

· Experience and specialist knowledge of mortgage regulations

· Strong integrity and professionalism

· Able toinfluence colleagues at all levels

· Must be either a UKnational or have permanent right to reside and work in the UK

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