Head of Compliance

3 weeks ago

Cardiff, United Kingdom Vargo Recruitment Full time

**About the company**

Vargo has been retained to recruit a leadership team for an exciting new Financial Services start-up, to be based in Cardiff.

Backed by a large UK bank, the opportunity is spearheaded by proven industry experts, and the organisation aims to be the market leader within the coming years.

I'm looking to speak to experienced leaders across Finance, Risk, HR, Technology, Customer Services & Collections, Operations as well as anyone else with experience in lending.

As a Head of Compliance, you will be responsible for setting up all compliance processes and procedures for this newly formed business. You will be responsible for structuring the 1st, 2nd and 3rd line support and all advisory activity, working closely with the Senior Management Team. The role will initially be stand-alone but will be responsible for recruiting a team over the coming months.

**About the job**
- Develop compliance policies, manuals and procedures
- Deliver an effective, risk-based Monitoring and Testing programme including a Regulatory Inventory and Compliance Risk Assessment to identify the key regulatory risks applicable to the business. Coverage includes conduct, regulatory, financial crime, and data protection risks
- Deliver the compliance advisory agenda for business and act as the main point for advisory-related queries. Provide regulatory and compliance guidance and advice for business projects ensuring customer outcomes and touchpoints are considered.
- In collaboration with the Head of Risk, provide input to and have responsibility for key advisory elements of the Compliance Programme
- Be responsible for ensuring awareness of regulatory changes that may impact the business, and work with teams to drive forward regulatory change
- Management of KRIs and relevant controls including risk identification, management, and incident closure.
- Ensuring reporting of risks is timely, appropriate and proportionate
- Proactively manage compliance activities in line with the ‘3 lines of defence’ model to ensure a robust and comprehensive framework.
- Work with relevant stakeholders to improve policies, processes, and rules to improve the effectiveness of controls
- Identify non-compliance with regulations or policies, identifying gaps in systems and processes

**About you**
- 5+ years experience in a compliance role in a regulated environment
- 5+ years experience and understanding of the mortgage industry and/or wider financial services markets
- Detailed working knowledge of all applicable legislation and regulation relating to a mortgage firm including FSMA, FCA Handbook (SUP, MCOB, PRIN, DISP, PERG) and GDPR.
- A sound grasp of FCA supervisory frameworks
- Confidence to work with and challenge all levels of the business.
- Be a self-starter with the tenacity to drive continuous improvement across the business.
- Exceptional communication, presentation and influencing skills.

**Benefits**
- 25 days annual leave
- Employee Pension Scheme matched to 8%
- Private Healthcare
- Hybrid/Flexible Working

**Job Types**: Full-time, Permanent

**Salary**: £70,000.00-£100,000.00 per year

**Benefits**:

- Flexitime
- Private medical insurance
- Work from home

Schedule:

- 8 hour shift
- Flexitime
- Monday to Friday

Supplemental pay types:

- Bonus scheme
- Performance bonus
- Yearly bonus

Ability to commute/relocate:

- Cardiff, CF10 2AS: reliably commute or plan to relocate before starting work (required)

**Education**:

- Bachelor's (preferred)

Work Location: Hybrid remote in Cardiff, CF10 2AS

Reference ID: 32786

Flextime

  • Head of Facilities and Maintenance

    1 month ago

    Cardiff, United Kingdom Smart Recruit Online Full time

    Head of Maintenance and Facilities required by leading retailer with head office in Cardiff. We are looking for a motivated individual to lead the department responsible for the maintenance and compliance of the company’s properties, sited across the UK. The Estate comprises circa 550 retail locations including warehouse and head-office properties. **Key...

  • Compliance Monitoring Analyst

    5 days ago

    Cardiff, United Kingdom Waterhouse-Kern Associates Full time

    Waterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months. Job purpose: The main objective of the Compliance Monitoring Analyst is to support all aspects of ‘second line of defence’ compliance including thematic review work, compliance monitoring and...

  • Compliance Monitoring Analyst

    6 days ago

    Cardiff, United Kingdom Waterhouse-Kern Associates Full time

    Waterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months. Job purpose: The main objective of the Compliance Monitoring Analyst is to support all aspects of ‘second line of defence’ compliance including thematic review work, compliance monitoring and...

  • Compliance Monitoring Analyst

    6 days ago

    Cardiff, United Kingdom Waterhouse-Kern Associates Full time

    Waterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months.Check below to see if you have what is needed for this opportunity, and if so, make an application asap.Job purpose:The main objective of the Compliance Monitoring Analyst is to support all aspects of...

  • Compliance Monitoring Analyst

    4 days ago

    Cardiff, United Kingdom Waterhouse-Kern Associates Full time

    Waterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months.A variety of soft skills and experience may be required for the following role Please ensure you check the overview below carefully.Job purpose:The main objective of the Compliance Monitoring Analyst is...

  • Compliance Monitoring Analyst

    5 days ago

    Cardiff, United Kingdom Waterhouse-Kern Associates Full time

    Waterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months.Job purpose:The main objective of the Compliance Monitoring Analyst is to support all aspects of ‘second line of defence’ compliance including thematic review work, compliance monitoring and...

  • Compliance Monitoring Analyst

    1 day ago

    Cardiff, United Kingdom Waterhouse-Kern Associates Full time

    Job Description Waterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months. Job purpose: The main objective of the Compliance Monitoring Analyst is to support all aspects of ‘second line of defence’ compliance including thematic review work, compliance...

  • Compliance Monitoring Analyst

    6 days ago

    Cardiff, United Kingdom Waterhouse-Kern Associates Full time

    Job DescriptionWaterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months.Job purpose:The main objective of the Compliance Monitoring Analyst is to support all aspects of ‘second line of defence’ compliance including thematic review work, compliance...

  • Head of Resourcing

    3 weeks ago

    Cardiff, United Kingdom Options For Recruitment Full time

    Head of Resourcing - £40,000 DOE + Benefits - Based in Cardiff with regular travel within South and Central Wales as well as hybrid working Are you ready to make a real difference and play a pivotal role in shaping, defining and steering resourcing strategy, to attract and recruit the best talent available? The Role As the Head of Resourcing /...

  • Compliance Analyst

    5 days ago

    Cardiff, United Kingdom Waterhouse-Kern Associates Full time

    Waterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months. Job purpose: The main objective of the Compliance Monitoring Analyst is to support all aspects of ‘second line of defence’ compliance including thematic review work, compliance monitoring and...

  • Compliance Analyst

    1 day ago

    Cardiff, United Kingdom Waterhouse-Kern Associates Full time

    Job Description Waterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months. Job purpose: The main objective of the Compliance Monitoring Analyst is to support all aspects of ‘second line of defence’ compliance including thematic review work, compliance...

  • Compliance Analyst

    6 days ago

    Cardiff, United Kingdom Waterhouse-Kern Associates Full time

    Waterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months. Job purpose: The main objective of the Compliance Monitoring Analyst is to support all aspects of ‘second line of defence’ compliance including thematic review work, compliance monitoring and...

  • Head Of Resourcing

    2 weeks ago

    Cardiff, United Kingdom Options For Recruitment Full time

    Head of Resourcing - £40,000 DOE + Benefits - Based in Cardiff with regular travel within South and Central Wales as well as hybrid working Are you ready to make a real difference and play a pivotal role in shaping, defining and steering resourcing strategy, to attract and recruit the best talent available? The Role As the Head of Resourcing /...

  • Head of Resourcing

    3 weeks ago

    Cardiff, United Kingdom Options For Recruitment Full time

    Head of Resourcing - £40,000 DOE + Benefits - Based in Cardiff with regular travel within South and Central Wales as well as hybrid workingAre you ready to make a real difference and play a pivotal role in shaping, defining and steering resourcing strategy, to attract and recruit the best talent available?The RoleAs the Head of Resourcing / Recruitment, you...

  • Head of Communications in Cardiff

    2 weeks ago

    Cardiff, Cardiff, United Kingdom Arts Council Of Wales Full time

    Pennaeth Cyfathrebu Llawn amser, 37 awr yr wythnosParhaolGradd E:Cyflog cychwynnol o £53,606Lleoliad: Gellir lleoli'r rôl hon yn unrhyw un o swyddfeydd Cyngor Celfyddydau Cymru ym Mae Caerdydd, Caerfyrddin neu Bae Colwyn. Ar hyn o bryd rydym yn gweithio mewn ffordd hybrid. Mae ein buddion yn cynnwys 30 diwrnod o wyliau blynyddol, 2.5 diwrnod braint,...

  • Head of Recruitment and Resourcing

    2 weeks ago

    Cardiff, United Kingdom Options For Recruitment Full time

    Head of Resourcing - £40,000 DOE + Benefits - Based in Cardiff with regular travel within South and Central Wales as well as hybrid working As the Head of Resourcing / Recruitment, you will own the recruitment agenda, partnering with Hiring Managers and offering innovative and creative advice and solutions on how to attract and recruit the best talent...

  • Head of Communications in Cardiff

    3 weeks ago

    Cardiff, United Kingdom Arts Council Of Wales Full time

    Pennaeth Cyfathrebu Llawn amser, 37 awr yr wythnosParhaolGradd E:Cyflog cychwynnol o £53,606Lleoliad: Gellir lleoli'r rôl hon yn unrhyw un o swyddfeydd Cyngor Celfyddydau Cymru ym Mae Caerdydd, Caerfyrddin neu Bae Colwyn. Ar hyn o bryd rydym yn gweithio mewn ffordd hybrid. Mae ein buddion yn cynnwys 30 diwrnod o wyliau blynyddol, 2.5 diwrnod braint,...

  • Head of Communications in Cardiff

    2 weeks ago

    Cardiff, United Kingdom Arts Council Of Wales Full time

    Pennaeth Cyfathrebu Llawn amser, 37 awr yr wythnos ParhaolGradd E: Cyflog cychwynnol o £53,606 Lleoliad : Gellir lleoli'r rôl hon yn unrhyw un o swyddfeydd Cyngor Celfyddydau Cymru ym Mae Caerdydd, Caerfyrddin neu Bae Colwyn. Ar hyn o bryd rydym yn gweithio mewn ffordd hybrid. Mae ein buddion yn cynnwys 30 diwrnod o wyliau blynyddol, 2.5...

  • Head of Resourcing

    2 weeks ago

    Cardiff, United Kingdom ThreePeople Full time

    Head of Resourcing - £40,000 DOE + Benefits - Based in Cardiff with regular travel within South and Central Wales as well as hybrid working Are you ready to make a real difference and play a pivotal role in shaping, defining and steering resourcing strategy, to attract and recruit the best talent available? The Role As the Head of Resourcing /...

  • Head of Resourcing

    3 weeks ago

    Cardiff, United Kingdom Options for Recruitment Limited Full time

    Head of Resourcing - £40,000 DOE + Benefits - Based in Cardiff with regular travel within South and Central Wales as well as hybrid workingAre you ready to make a real difference and play a pivotal role in shaping, defining and steering resourcing strategy, to attract and recruit the best talent available?The RoleAs the Head of Resourcing / Recruitment, you...