Head Of Compliance
4 weeks ago
If you think you are the right match for the following opportunity, apply after reading the complete description.
Responsible for:
Ensuring that the business (and its products and services) comply with FCA regulation; performing internal and external compliance monitoring; implementing a robust business continuity programme; ensuring that documentation is compliant with law and regulation; and that anti-bribery policies are implemented.
Key Purpose
• To support the Head of Sales in the development and operation of the regulatory compliance function.
• Be a trusted adviser to business areas providing high quality advice on all relevant aspects of conduct risk and FCA regulation.
• Review regulatory changes and advise the business of any options, changes or necessary actions that would need to be taken to ensure the business remains compliant.
• Review new products and processes and advise on changes required to ensure that the business remains compliant.
Responsibilities
• Provide timely and high quality advice to business areas on all relevant aspects of conduct risk and FCA regulation.
• Use regulatory, industry and media resources to identify and ensure the employer remains current with regulatory and industry practice.
• Communicate regulatory and industry rule and policy changes to relevant stakeholders and business areas. Assist with devising action plans to ensure compliance. If a monitoring need is identified, notify the Head of Sales.
• Work with business areas to help them understand the impact of regulation on their product / project and to help them find a workable solution which is compliant with relevant regulation.
• Review new products and processes and advise on changes required to ensure that the business remains compliant and is managing its conduct risk.
• Provide guidance on financial promotions, in conjunction with the Legal / Senior Management Team.
• Ensure that information requests received from the FCA are completed by the deadline
• Deliver training and other means of support to the company to assist colleagues to manage conduct and regulatory risk across the firm.
• Set an example as a team player, respectful of others in the organisation and maintain a focus on overall business objectives; contributing towards a productive and healthy working environment.
• Maintain the highest level of confidentiality; housekeeping; and to ensure that personal behaviour and attitude reflects the essence of the employer and the core values.
• Ensure compliance with approved company, statutory and regulatory policies/procedures
Essential Criteria
• Regulatory environment experience
• Consumer Credit Compliance experience
• Highly organised with good personal efficiency and capable of managing multiple tasks
• Ability to communicate effectively at all levels within the business both verbally and in writing
• Experience of working to deadlines in a changing environment.
• Ability to work independently with a flexible and adaptable approach
• Proactive team player
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