Head of Compliance, Risk
1 week ago
We are recruiting for a leading Financial Planning and Wealth Management firm. The Compliance Officer & MLRO will provide both day-to-day support and challenge to the business, in order to ensure that the firm remains compliant with its regulatory requirementsand within the risk appetite, policies, limits set by the Board.
**Main Responsibilities**
- Responsible for leading and managing both the Risk and Compliance functions within the firm including the COB plan, Systems and Controls, Monitoring plan and all other regulatory procedures
- Responsible for developing and delivering risk and compliance strategies that are aligned to the firm's strategy.
- Responsible for sponsoring appropriate risk management and compliance policies for the Risk & Compliance teams and ensuring that they are effectively communicated and adhered to across the business
- Managing the relationship with the regulators, central correspondence and reporting log and regulatory visits and inspections
- Responsible for reviewing and maintaining existing risk management framework; including the current policies, committees, resources employed, reporting lines and management information.
- Reviewing all FCA policy statements and requirements on stress testing and maintenance of a stress testing process that satisfies the Boards and regulatory obligations, with regard to capital, liquidity risk and credit risk exposure
- Member of the Executive Committee (ExCo), responsible for the delivery of the firms Balanced Scorecard for Risk and Compliance, and Chair of Business Risk Committee
**Job Requirements**:
- Degree educated to a post graduate level
- Significant regulatory experience from a similar IFA / Wealth Management / Financial Planning Firm
- Working knowledge of the regulator sourcebooks that are relevant to 's business, especially SYSC, SUP, COBS and good understanding of the prudential requirements
- Relevant professional qualifications an advantage
LI-DR1
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