Head of Compliance

1 week ago

Dorset, United Kingdom Ultimate Banking Ltd Full time

Our client is small but highly successful and progressive mortgage lender looking to strengthen their existing team with a Head of Compliance. The role will focus on providing expert and professional compliance support to the business to ensure it fulfillsits regulatory obligations but you will also work closely with an interim working on a companywide change project.

Key areas of responsibility for the Head of Compliance:

- Proactively providing high quality compliance advice to all operational areas
- Ensuring colleagues understand existing and new regulatory requirements applicable to their work
- Signing off Financial Promotions under MCOB regulations

The Head of Compliance responsibilities cover those aspects of the regulatory regime of the FCA (or successor authorities) applicable to the company plus Data Protection and Data Security matters and the prevention of financial crime and acting as DeputyMoney Laundering Reporting Officer (DMLRO)

In more detail:

- monitor regulatory developments and changes, analyse the impact on the company and advise senior management and relevant operational areas on any changes required in response
- manage the implementation of regulatory change projects
- identify and assess compliance risks in relation current and planned business activities
- provide regular training and presentations on all aspects of compliance requirements tailored to the needs of the company
- keep orderly records and provide MI to enable senior management and the regulators to monitor compliance with regulatory requirements
- monitor and report compliance breaches or flaws (in respect of legal, regulatory requirements and internal policies and procedures) to senior management including to the Board
- contribute to the preparation of annual compliance plan proposals based on an analysis of the key areas of the business and key compliance risks
- help senior management promote and develop constructive and transparent relations with relevant external parties, including regulators
- proactively develop, propose and implement compliance initiatives to strengthen the compliance culture and systems and to generally raise the profile of compliance
- As DMLRO during the MLRO’s absences from the office, fulfil the MLRO role.
- Strong knowledge of FCA regulations and industry best practice
- General knowledge of the financial services industry and its operational activities, preferably including mortgage lending and retail savings accounts
- Knowledge and experience of conducting, and preferably designing, compliance monitoring with particular attention to root cause analysis
- Experience of giving presentations

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