Head of Compliance

3 weeks ago

Borehamwood, United Kingdom Spring Finance Limited Full time

Key Responsibilities:

Regulatory Risk and Compliance:

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

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

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

· Provide regulatory advice to the business relating to new and existing processes and products

· Maintain relationship with the FCA and hold responsibility for any regulatory notifications

· Oversee Springs Complaint Handling Framework, ensuring complaints are dealt with promptly, fairly and identify and address any root causes to minimise repeated complaints

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

· Review and recommend enhancements, where required, to management information to ensure that customer outcomes and potential customer detriment can be reasonably managed 

· Review and develop an annual training plan to ensure that Springs staff have sufficient knowledge to discharge their roles

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


AML/Financial Crime:

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

· Responsible for assessment and management of key financial crime risks inherent in the firm’s business activity and for reviewing it in conjunction with the Financial Crime prevention policies 

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

· Receiving and dealing with suspicious activity reports from all areas of the business and maintaining appropriate records

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

· Work with the MLRO in providing an annual MLRO report to the board on AML/ financial crime compliance within the firm.


Key Competencies:

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

·  Proven ability to lead effective 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 to influence colleagues at all levels

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

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