Compliance Director Leader
2 weeks ago
Close Brothers Group is a leading UK merchant banking group providing lending, deposit taking, wealth management services and securities trading.
We support employees to balance their work life priorities and in this role you will be able to enjoy a mixture of hybrid working.
Job Title: Compliance DirectorWe are seeking an experienced Compliance Director to lead our SMCR operations and ensure regulatory compliance with the PRA and FCA expectations.
Key Responsibilities:- Provision of advice on PRA and FCA rule and guidance interpretation relating to various matters in particular, SMCR, third party risk management and regulatory engagement.
- Preparation of high-quality external documentation such as SMF applications for new candidates or existing SMF holders changing roles.
- Working with HR on the certified persons workflow including identification of certified persons, working with HR who are tracking F & P, this person will then be responsible for updating the Financial Services Register.
- Keeping abreast of regulatory and landscape change, and responsibility for assessing, analysing the impact, provision of guidance, interpretation and implementation of any new requirements, and embedding any regulatory change in the institution particularly regulatory change pertaining to SMCR.
- The provision of papers and data or MI to Committees or Fora owned by Compliance, including the Senior Manager and Certification Regime (SMCR) Oversight Committee, which reports to the CBL Board.
As a line manager, you will be responsible for inspiring and motivating your team, as well as developing performance through coaching.
What We Offer:- Competitive salary: £90,000 - £110,000 per annum
- Private medical insurance
- Discounted health checks
- Stakeholder pension contribution
- Gym discounts
- Cycle to work scheme
- Save As You Earn scheme
- Purchase additional holiday
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