Our client is a well-respected Financial Services organisation who are currently recruiting for a Head of Compliance. This is an integral and highly influential role within the business where you will be required to set the vision and strategy for the compliance function across the firm.
Create processes that support business growth and enable the company to maintain its authorisation to distribute financial products and to set and drive the vision and strategy for the development and implementation of a flexible and responsive program of controls for the business.
Key responsibilities include :
Grow the Compliance program to meet the future needs of the organisation
Manage all aspects of the organisation’s interactions with the FCA, ICO, Ofcom or any other regulatory body as and when is necessary
Interpret FCA, ICO and Ofcom guidelines for the business and design and implement appropriate compliance responses
Ensure the organisation maintains its strong culture of achieving good customer outcomes
Lead the Risk, Compliance & Conduct Committee and the associated compliance and governance processes to ensure the key risk requirements of the Board are being met
Ensure the organisation is kept informed of the latest and future regulatory and legislative requirements
Own the Enterprise Risk Management planning function and engage key stakeholders to obtain inputs and ensure mitigating controls are being implemented.
Provide the Board and Executive with the required management information to monitor the effectiveness of compliance and risk controls and management processes
Take full ownership of all compliance and risk related activity within the organisation
Manage and develop a team of compliance and quality assurance staff to achieve their stated objectives
Provide ongoing guidance, training and peer support to other relevant staff
Provide sign off of advertising and marketing material, scripts, training material.
Assist in the design, rollout and maintenance of the firms response to the Senior Managers Certification Regime
The Person :
High calibre Compliance professional with experience in the financial services industry. Preferred focus on insurance or direct to customer sales in financial services.
Extensive knowledge of legal, regulatory and compliance requirements including ICOBs, SMCR, GDPR and Ofcom.
Proven track record of compliance program design
Created, implemented and maintained governance structures that promote cross-functional teamwork in a compliance context
Ability to inspire and manage change across different functions in an organization
Excellent management and leadership skills
To discuss the role in greater detail please contact Paul Sherlock on 0161 883 2746 or send through your CV to psherlock merje.com