Head of Compliance

7 days ago

London, United Kingdom Davies Resourcing Full time

An exciting opportunity has arisen for an experienced Head of Compliance to join this growing Wealth and Investment Management firm, taking them through authorisation and building the compliance function. The firm is backed by highly experienced entrepreneursin the Wealth Management space.
The role will include:

- Working directly with the board to ensure the company is meeting its regulatory obligations and best practice
- Driving a compliance culture in line with the growing vision of the company
- Hold SMF16 & 17 and act as the primary contact for all regulatory contact
- Develop, implement and update risk management policies, procedures and standards. Supporting processes in line with the scale and complexity of the business
- Ensure all regulatory reporting is accurate, complete and submitted in a timely manner
- Ensure the financial crime control framework is robust and frequently assessed including KYC, AML and sanctions policies and procedures are up to date.
- Horizon scanning, keeping track of new regulatory updates and inform the business of trends and themes that may occur
- Carry out risk based monitoring and produce regular management information for the board and key stakeholders
- Monitor and develop controls and oversight of critical outsourcers and key supplier arrangements
- Review and sign off on all financial promotions
- Ensure an effective regulatory training programme is in place

Skills and Experience required:

- Be highly experienced within Retail Investments, Wealth Management, Online platforms, Robo Advice etc
- Experience of working in the Fintech space with Start Ups and Scale Ups would also be useful

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