Head of FS Compliance and Risk Lead

2 weeks ago

London, Greater London, United Kingdom Utility Warehouse Full time

Head of Financial Services Compliance Role

We are seeking a senior compliance professional to lead the compliance function for the Financial Services part of our business.

Key Responsibilities:

  • Develop and implement the compliance strategy in alignment with our FS goals.
  • Lead a small compliance team, providing direction, support, and professional development.
  • Serve as a senior advisor to the executive team on FS compliance-related matters.

Regulatory Compliance:

  • Monitor and interpret new and existing financial services regulations, ensuring our policies and procedures comply.
  • Develop, implement, and oversee the compliance framework, policies, and procedures.
  • Ensure compliance with relevant UK regulations, as well as oversight over Gibraltar-specific requirements.

Risk Management:

  • Identify and assess compliance risks associated with our activities.
  • Develop and implement measures to mitigate identified risks.
  • Conduct regular compliance risk assessments and audits.

Training and Education:

  • Design and deliver training programs to educate employees on compliance obligations.
  • Embed a culture of compliance and ethical behaviour within our organisation.

Monitoring and Reporting:

  • Establish and maintain effective compliance monitoring and reporting systems.
  • Prepare and present regular compliance reports to the executive team and board of directors.
  • Handle regulatory inquiries, examinations, and audits.

Policy Development:

  • Draft, review, and update compliance policies and procedures.
  • Ensure policies are effectively communicated and implemented across the business.

Third-Party Management:

  • Oversee the compliance of third-party service providers.
  • Conduct due diligence and ongoing monitoring of third-party relationships.

Investigation and Resolution:

  • Lead investigations into compliance breaches or issues.
  • Develop corrective action plans and oversee their implementation.

Why Choose Us:

  • An industry-benchmarked salary.
  • Share Options and a Save as You Earn scheme.
  • Hybrid working, with 2 days in the office.
  • Discount on our services and you get our coveted Cashback Card for free.
  • A matched contribution pension scheme and life assurance up to 4x your salary.
  • Family-friendly policies, designed to help you and your family thrive.
  • Electric Vehicle scheme.
  • Discounted private health insurance, access to an Employee Assistance line and a free Virtual GP.
  • Belonging groups that help us shape an even more inclusive future.
  • A commitment to helping you develop and grow in your role.

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