Head of Compliance

4 weeks ago

Altrincham, United Kingdom Lookers Plc Full time

Overview:
**Location**: Manchester Head Office (Hybrid working)

**Working hours**: 37.5; Monday
- Friday 09:00-17:00

Marcus Kenny (Chief Risk Officer) is on the hunt for a ‘Head of Compliance’ to come and join his talented and well-established team.

Lookers’ Compliance team is a permanent and effective function which operates independently and has a number of responsibilities. These incorporate monitoring the adequacy and effectiveness of the regulatory, conduct and financial crime risk management framework and culture across the Group as well as the actions taken to address any deficiencies in Lookers’ compliance with its obligations. Furthermore, advising and assisting the senior management, the Executive and the Board who are accountable for carrying out regulated activities to comply with the firm’s obligations under the regulatory system.

The overarching purpose of this role is to manage the Compliance team, with direct management of two managers and five officers.

When in role you will provide Lookers with identification, recording and updating of regulatory obligations with regard to the regulated activities it performs covered by; Financial Conduct Authority (FCA), Central Bank of Ireland (CBI) and Competition and Consumer Protection Commission (CCPC). Additionally, providing leadership of the execution and maintenance of the Regulatory, Conduct and Financial Crime risk policies; supporting the business on the identification and assessment of risk across Lookers regulated activities. This will incorporate management tools, control testing techniques and aggregation of risk reporting to support business oversight.

**Responsibilities**:
Compliance Leadership:

- Providing the business with a pro-active, expert, and effective regulatory compliance advisory service
- Produce regular regulatory and conduct management information for all the governance fora up to the board
- Developing, implementing, and updating adequate financial crime, regulatory and conduct risk policies, standards and procedures for the nature, scale and complexity of the Lookers business and the nature and range of financial services and activities undertaken
- Be one of the main contact points with the regulators and maintain a transparent and proactive approach
- Being responsible for reporting and overseeing the implementation of the Financial Crime Risk Assessment and the MLRO to report to the Board
- Act as deputy for the Chief Risk Officer in their role as ‘Money Laundering Reporting Officer’ in their absence
- Attendance at governance committees
- Support the implementation of and ensure ongoing compliance with the FCA’s Consumer Duty
- Creating, completing, reporting and overseeing the implementation of remedial measures where deficiencies have been identified on the following; Compliance Risk Assessment and Compliance Monitoring Programme
- Creating, recording, and updating a rules map for the organisation
- Identification, impact analysis and oversight of the implementation of regulatory change via the regulatory change tracker
- Providing guidance on the requirements for periodic regulatory reporting and to ensure the information provided by the business is sent to the regulators in a timely manner
- Ensuring effective financial crime, regulatory and conduct risk training is delivered across Lookers
- Advising and monitoring of Lookers’ prudential capital, professional indemnity insurance, payment of regulatory fees and client money requirements
- Conducting regulatory due diligence and regulatory and conduct risk assessment of all proposed new acquisitions and appointed representatives
- Advising and monitoring that Lookers has sufficient ongoing oversight of its appointed representatives
- Assessing, registering and de-registering FCA senior management functions and approved persons and CBI controlled functions
- Devising, implementing, recording and maintaining the Lookers regulatory breached register and monitoring the closure of remedial action plans by the business as well as the process for notification of issues to the regulators
- Devising, implementing and monitoring the controls for the identification and oversight of material outsourcing arrangements by the business
- Creating, implementing, investigating, recording and reporting on the whistleblowing standard

Service Delivery:

- The delivery of budget allocated for business-as-usual activities whilst continually seeking opportunities for efficiency improvements
- Ensuring the successful delivery of initiatives aimed at improving the regulatory, conduct and financial crime risk controls of Lookers and delivering significant benefits in terms of reduced and avoided regulatory breaches
- Ensuring all audit deliverables against the compliance function are achieved in relation to overdues and issue assurance

Team Leadership:

- Supporting the CRO in articulating a compelling vision, incorporating strategic goals and short
- and medium-t

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