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Head of Compliance
4 months ago
We are collaborating with a boutique investment bank in their search for a Head of Compliance. The bank has a strong reputation in the emerging markets space, offering their clients a range of banking services.
THE RESPONSIBILITIES:
Lead the Compliance Department with responsibility for the overarching compliance framework, resourcing and strategy.nDevelop, motivate and lead staff to ensure their potential is realised.nPromote a strong compliance culture as flag-bearer for Compliance within the Firm.nEnsure the Firm's ongoing compliance with applicable UK regulations and rules of conduct.nDevelop and implement a comprehensive risk-based Compliance Monitoring Programme which covers routine monitoring, reports on identified weaknesses and implements follow-up action plans to senior management and relevant committees.nMaintain the Compliance Manual, and all compliance policies and procedures.nIdentify, interpret and disseminate information about regulatory changes across the Firm.nAct as intermediary between the Firm and all relevant regulatory bodies.nProvide timely accurate compliance advice to business partners and senior management.nLead compliance-related projects and initiatives.nParticipate on various risk, compliance and governance committees.nOrganise and execute the Firm's compliance training to help ensure awareness and understanding by employees of responsibilities.nReview and approval of marketing materials.nRegulatory horizon scanning.
FCA RESPONSIBILITIES:
Responsibilities as set out in the FCA Statement of Responsibility relevant to the CCO RolenSubject to and required to adhere to the FCA Code of Conduct for Individuals and Senior Managers.
For further information please contact Marcus Courtney
