Planning Manager

2 weeks ago


London, United Kingdom Compliance Recruitment Solutions Full time

HEAD OF COMPLIANCE (FUNERAL PLANNING - REMOTE) – SENIOR RETAIL COMPLIANCE EXPERIENCE (INCLUDING HOLDING SMF 16) REQUIRED HEAD OF COMPLIANCE (FUNERAL PLANNING - REMOTE) –  SENIOR RETAIL COMPLIANCE EXPERIENCE (INCLUDING HOLDING SMF 16) REQUIRED
Our client a Funeral Planning business is looking to appoint a Head of Compliance to support the CEO and board in further developing the compliance function, frameworks and programme. As part of the senior management team and holding SMF16, duties will include:
· Regulatory compliance management within the business; coordinating and developing the compliance monitoring calendar and internal deliverables across the business
· Designing and maintaining the Compliance Monitoring Programme (CMP)
· Ensuring the business complies with FPCOB permissions and any future permissions that may be commercially appropriate
· Submitting Regulatory Returns, including Quarterly and/or Annual Financial Returns and other reports to FCA, within the prescribed deadlines, and the gathering of internal information in response to regulatory requests
· Managing the relationship with the FCA effectively, handling FCA compliance queries
· Reading, and understanding the implications of, FCA Consultation Documents, Policy Notices, Notices of Disciplinary Action, Regulatory Updates and other publications etc
· Designing and maintaining the Compliance Policies and Procedures Manual ensuring that it is up-to-date at all times
· Reviewing and approving all non-real time financial promotions and published recommendations prior to their issue by, or in the name of, the business
· Undertaking and advising on compliance oversight on product changes
· Lead the compliance team ensuring resources are appropriately managed and deployed
The successful candidate must have previously held the SMF 16 in a Retail financial services business and have the ability to cultivate a positive compliance culture, foster executive level relationships and influence & direct your colleagues at all levels.
This is an excellent opportunity to join a well-established firm in a role that will be visible and influential across the business and role is offered as fully remote (UK based).
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
Ethical, Expert & Professional Recruitment by former Compliance Officers, specialising in AML & Financial Crime (including Anti Bribery & Corruption, ...
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