Compliance Director

2 weeks ago

City of London, United Kingdom Blakemore Recruitment Full time

**Role purpose**
- You will have overall responsibility for all compliance policies and controls across the business and will work closely with the Directors to help improve the business ensuring it fully complies with all statutory and regulatory obligations.

**Role requirements**:

- Prepare, review, and update the compliance and AML policies & procedures.
- Responsible for producing and submitting regulatory returns to the FCA.
- Develop and maintain an annual calendar of compliance tasks.
- To monitor and keep the board advised of current and pending relevant regulatory requirements.
- To report immediately to the board all material and significant breaches or potential breaches of regulations.
- Advise the board and senior management on compliance and AML issues.
- To ensure that senior management is aware of its responsibilities and obligations in conducting business in conformity with such rules and regulations so as to maintain the firm’s reputation.
- Assist in regulatory reviews and liaise with regulators, auditors, clients concerning compliance and AML matters.
- Manage the firm’s relationship with the FCA.
- Provide input and assessment on the firm’s investment committee.
- Chair the firm’s risk committee meetings.
- Provide and/or arrange to train staff (new joiners) on compliance and AML requirements and provide/arrange for annual refresher training for existing staff.
- To undertake the investigations of any complaints.
- Oversee financial promotions.
- Work closely with external specialist compliance support firm.
- Ensure that the firms training, and competence scheme operates effectively, including the annual fit and proper certification assessments under SM&CR.
- Work as part of internal Errors Working Group monitoring all errors with a view to both minimising the same risk reappearing but also identifying new potential errors before they occur.
- Work closely with firms Data Protection Officer on any GDPR queries and issues.

**Skills & professional qualifications** Keys skills
- Looking to hold SMF16 and SMF17 responsibilities
- Level 4 (Diploma) qualified with a view to becoming Chartered
- Excellent written and verbal communication skills.
- Independent thinker, with demonstrated good judgement, problem-solving and analytical skills.
- Strong report writing skills with the ability to present information (both financial and non-financial) and recommendations in a clear and logical way.
- Experience of conducting interviews/discussing issues with, and presenting findings to, senior management teams or Boards.
- Experience of the FCA’s RegData and Connect systems.
- Strong understanding of FCA rules.

**This is an excellent opportunity to lead and develop the compliance function of this highly regarded financial planning firm in the City.

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