Head Of Compliance

3 weeks ago

St Albans, United Kingdom Click and Connect Online Limited Full time

Position: Head ofCompliance

Location: StAlbans Office UK

About the Firm: Our client is aleading financial services firm specializing in providingcomprehensive wealth management solutions to highnetworthindividuals and families. They are committed to integrity expertiseand personalized service empowering their clients to achieve theirfinancial goals with confidence and peace ofmind.

Role Overview: Our client is seeking anexperienced and highly skilled Head of Compliance to lead thecompliance function at their St Albans office. The successfulcandidate will be responsible for ensuring that the firm operatesin full compliance with all relevant regulatory requirementsindustry standards and internal policies and procedures. The idealcandidate will possess expertise in compliance management have anexisting relationship with the Financial Conduct Authority (FCA)and experience in holding the SMF16 (Compliance Oversight) andSMF17 (Money Laundering Reporting Officer)functions.

KeyResponsibilities:

Develop implement and maintainan effective compliance framework and program to manage regulatoryrisk and ensure adherence to applicable laws regulations andguidelines.

Cultivate and maintain a strongrelationship with the FCA serving as the primary point of contactfor regulatory inquiries examinations andinspections.

Monitor regulatory developments andassess their potential impact on the firms operations policies andprocedures. Provide timely guidance and recommendations to seniormanagement on compliancerelated matters.

Overseethe implementation of compliance controls policies and proceduresensuring alignment with regulatory requirements and industry bestpractices.

Conduct periodic reviews andassessments of the firms compliance program to identify areas forimprovement and mitigate potential risks.

Leadcompliance training initiatives for employees ensuring that allstaff members are adequately trained and knowledgeable about theircompliance obligations.

Collaborate withinternal stakeholders including legal risk management and businessunits to address compliance issues resolve conflicts and implementeffective solutions.

Lead investigations intocompliance breaches incidents or allegations of misconduct andimplement appropriate remedial actions and disciplinary measures asnecessary.

Maintain comprehensive records ofcompliance activities reports and documentation to demonstratecompliance with regulatory requirements and internalstandards.

Represent the firm in external forumsindustry associations and regulatory working groups to contributeexpertise share insights and advocate for regulatory reforms orimprovements.

Qualifications andRequirements:

Bachelors degree in financebusiness administration law or a related field. Advanced degree orprofessional certifications (e.g. CAMS CFE CFCS)preferred.

Extensive experience (minimum 710years) in compliance management within the financial servicesindustry with a strong focus on wealth management investmentadvisory or private banking services.

Indepthknowledge of relevant regulatory requirements including but notlimited to FCA rules and regulations SM&CR (Senior Managers andCertification Regime) AML (AntiMoney Laundering) and KYC (Know YourCustomer) requirements.

Demonstrated experiencein developing and implementing compliance policies procedures andcontrols within a regulated financial servicesenvironment.

Strong leadership and managerialskills with the ability to effectively lead and motivate a team ofcompliance professionals and foster a culture of compliance andethical conduct.

Excellent analyticalproblemsolving and decisionmaking abilities with a keen attentionto detail and accuracy.

Exceptionalcommunication and interpersonal skills with the ability tocommunicate complex regulatory concepts clearly and concisely todiverse stakeholders at all levels of theorganization.

Ability to work independently andcollaboratively in a fastpaced dynamic environment with a highdegree of professionalism integrity anddiscretion.

Flexibility to adapt to changingregulatory requirements business needs and priorities and acommitment to continuous professional development andlearning.

The firm is an equal opportunityemployer and welcomes applications from qualified individualsregardless of race gender age disability sexual orientationreligion or nationality. All applications will be treated withstrict confidentiality.

Remote Work :

No

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