Head of Regulatory Compliance

15 hours ago

London, Greater London, United Kingdom Compliance Professionals Full time
Job Title: Head of Asset Compliance

We are seeking a highly experienced and skilled Head of Asset Compliance to join our team at Compliance Professionals. As a key member of our organization, you will be responsible for ensuring that our company operates in compliance with all relevant regulatory requirements.

Key Responsibilities:
  1. Regulatory Compliance: Establish and maintain appropriate policies, procedures, systems, and controls to ensure regulatory compliance and financial crime prevention.
  2. Compliance Monitoring: Oversee the implementation of the Compliance Monitoring Plan to assess systems and controls, ensuring processes and procedures meet regulatory requirements.
  3. Regulatory Advice: Provide sound advice and guidance to the Board of Directors and other stakeholders on regulatory matters, considering the regulatory risks associated with new business initiatives.
  4. Regulatory Liaison: Act as a point of contact for regulatory bodies and auditors, ensuring effective communication and cooperation.
  5. Staff Training: Ensure staff are trained in local regulatory requirements and receive induction training, and that all staff required to comply with the regulator's training and competence regime do so.
  6. Compliance Reporting: Take responsibility for the completeness and accuracy of regulatory reporting, providing relevant MI to the Board.
  7. Complaint Handling: Effectively deal with client complaints and subsequent interactions with the Financial Ombudsman Service.
  8. Relationship Building: Develop and strengthen relationships across the firm to promote best practice and ensure a good understanding of the regulatory framework.
  9. Regulatory Updates: Keep up to date with key changes to regulation and legislation, including regulatory actions that will impact the business.
  10. Team Development: Provide support and guidance to the Compliance Team, taking responsibility for individual team development.
  11. Ad Hoc Projects: Participate in ad hoc investigations, reviews, and compliance/financial crime projects as required.

Requirements:

  • 7+ years compliance experience gained within a similar organization.
  • Thorough understanding of the legal and regulatory frameworks in which the firm operates.
  • Proven experience in developing and implementing compliance programs and policies.
  • Ability to explain regulatory requirements and advanced compliance concepts clearly and concisely.

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