Chief Compliance Officer

3 weeks ago

Clayton le Moors, Lancashire, United Kingdom FRASERS GROUP FINANCIAL SERVICES Full time
Job Title: Chief Compliance Officer

As a key member of the Senior Leadership Team, you will be responsible for overseeing the firm's compliance framework, policies, and procedures to ensure we meet our regulatory obligations. This includes mitigating the risk of the firm being used to facilitate financial crime.

You will have overall responsibility for overseeing our Compliance advisory and monitoring functions, ensuring that FRASERS GROUP FINANCIAL SERVICES has appropriately considered the regulatory compliance requirements upon it. As part of this, you will ensure that the FGFS board has appropriate awareness of those regulatory requirements and the effectiveness of controls in place to meet them.

Additionally, you will have overall responsibility for overseeing FGFS's Anti-Money Laundering (AML) compliance, ensuring that FGFS has appropriately considered and operates appropriate controls to mitigate its exposure to money laundering.

Key Responsibilities:
  • Oversee FRASERS GROUP FINANCIAL SERVICES's compliance with relevant FCA rules on systems and controls.
  • Support the FGFS Exec/Board in key business decisions, ensuring the independence of the Compliance function.
  • Oversee regulatory advice across the business and support the consideration of any actions required.
  • Oversee monitoring activity and support the design and implementation of any actions required.
  • Own the relationship with the regulator.
  • Support the business in defining processes across it, ensuring appropriate regulatory considerations.
  • With the CRO, support the FGFS's Board in setting the strategic direction and risk appetite for the management of AML.
  • Oversee FRASERS GROUP FINANCIAL SERVICES's compliance with FCA rules on systems and controls against money laundering, including Board reporting.
  • Respond appropriately to requests for information from third parties, such as the FCA or law enforcement agencies.
  • Shape, drive, and lead a culture of governance, risk, and compliance that aligns and enables the delivery of the overall FGFS vision and strategic objectives within defined legislative and regulatory parameters.

As FRASERS GROUP FINANCIAL SERVICES operates within a regulated environment, any offer is subject to satisfactory background checks, including a criminal record check, credit check, and employment references.

Requirements:
  • Experience of working within a financial services environment.
  • Knowledge of the Senior Managers Certification Regime and how it is embedded across firms.
  • Excellent working knowledge of the FCA handbook, ICO, and ASA guidelines.
  • Strong skills in team management.
  • A passion for helping the business deliver good customer outcomes.
  • Customer and colleague-focused, keen to share knowledge, grow out colleagues' learnings, and appropriately offer challenge.
  • Proven track record of consistently meeting and exceeding KPIs and targets.
  • Commercial acumen, working with commercial/operations functions to find innovative and efficient solutions to meet regulatory requirements.
  • Ability to plan and prioritise effectively to meet changing priorities and demands.
  • Ability to interpret data and information to highlight opportunities and minimise risk.
  • Excellent communication and engagement skills.
  • A level of self-awareness, such that you can appropriately impart your thoughts and considerations to varied internal/external audiences, gaining credibility and wider business support.
  • Ability to engage and influence stakeholders at an appropriate level.

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