Head Of Compliance

1 month ago

Chester, United Kingdom CV-Library Full time

Role and Responsibilities:

* Working with the firm’s Chief Risk & Compliance Officer/MLRO to ensure the firm remains in compliance with its regulatory obligations (including, but not limited to, SMCR, the Consumer Duty and Relevant FSMA regulated activities).

* Second line of defence, facilitating the building and/or monitoring/challenging the first line of defence controls within the firm’s risk and compliance framework.

* Support the delivery and effectiveness of the firms Non-Financial Risk management framework, and the Enterprise Risk management framework.

* Responsible for the firm’s whistleblowing framework, ensuring that staff are aware of the policy and that the whistle-blowers are protected and their names remain confidential.

Working with and as part of the firm’s Core Management Team you will:

* Monitor and interpret regulatory change and developments to ensure the impact on the business is highlighted and assessed;

* Oversee any projects to implement regulatory change;

* Ensure that changes required to the Firm’s policies and procedures are pro-actively evaluated, identified and remedied;

* Contribute to assessments to ensure the integrity of compliance policies and controls in place;

* Complete internal risk assessments where appropriate;

* Provide reports for senior management on current, emerging and thematic risks and issues;

* Ensure staff familiarity with compliance procedures;

* Oversee a regular programme of compliance monitoring to FCA standards and ensure the company is fully compliant with current rules;

* Contribute to product reviews and new product creation to ensure product governance;

* Oversight of any financial promotions to ensure they are compliant and fair, clear and not misleading;

* Providing training support and advice across the business and ensure all staff meet the training and competence requirements;

* Input on all FCA regulatory reporting (RegData, Connect etc);

* Acting as point of contact with the FCA and other regulatory bodies where required and communicating effectively with them;

* Identification and monitoring of risks for the business and taking responsibility for managing Risk;

* Manage the periodic reporting to the firm’s Senior Management to identify compliance priorities and risks;

* Create and sustain a positive compliance culture within the business.

Core Competencies and Knowledge:

* Extensive knowledge of the relevant regulatory landscape (including but not limited to FSMA, CCA and relevant provisions of FCA Handbook)

* Senior compliance officer level experience is essential;

* Capable of managing complexity;

* Strong communication skills - able to articulate complex matters simply;

* Strong diplomacy and negotiating - able to reach acceptable conclusion where there are divergent views, but stand firm where that is required;

* Possess great personal and professional integrity - highly credible and respected by key partners;

* Strong judgement - able to identity and focus on key issues and guide and advise others.

* Experience of managing and developing colleagues across multiple locations.

* Skilled communicator with experience in dealing with a range of stakeholders including executives and other senior leaders.

* Commercially aware with the ability to make decisions that identify and consider risks specific to the business

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