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Head of Regulatory Compliance

2 months 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:
  • Develop and implement effective compliance programs and policies to ensure regulatory compliance.
  • Oversee the implementation of the Compliance Monitoring Plan to assess systems and controls and ensure processes and procedures meet regulatory requirements.
  • Liaise with all areas of the business to provide sound advice and guidance on regulatory matters and consider the regulatory risks associated with new business initiatives.
  • Act as a point of contact for regulatory bodies and auditors.
  • Ensure staff are trained in local regulatory requirements and receive induction training.
  • Assess the Company's status of compliance and prepare relevant MI to the Board.
  • Take responsibility for the completeness and accuracy of regulatory reporting.
  • Effectively deal with any complaints raised by clients and any subsequent interaction with the Financial Ombudsman Service.
  • Develop and strengthen relationships across the firm to promote best practice and ensure a good understanding of the regulatory framework.
  • Keep up to date with key changes to regulation and legislation.
  • Provide support and guidance to the Compliance Team and take responsibility for individual team development.
  • 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.

We are looking for a highly skilled and experienced professional to join our team. If you have a strong background in compliance and are looking for a new challenge, please apply for this exciting opportunity.