Salary:

£110,000.00 - £130,000.00 / annum

Location:

London

Date posted:

3rd July 2019

Employment type:

Permanent

Job reference:

06030-0011056354

Staffing area:

Financial Services


Description

Head of Compliance

London - City

Wealth Management

£110K-£130K + benefits

Role duties:

  • Report on all compliance matters to the Board
  • Act as the FCA Nominated Compliance Officer; MLRO and Data Protection Officer
  • Provide relevant input and guidance on business decisions including, but not limited to:
    • Corporate reorganisations
    • Joint ventures, mergers and/or acquisitions
  • Establish and maintain operational compliance procedures including, but not limited to:
    • Financial Crime processes
    • Conduct of business including staff-dealing; compliance manuals; business continuity; recruiting and marketing materials.
    • Staff training
  • Confirm that regulatory returns are submitted on time and are accurate.
  • Provide regular updates to staff and board regarding regulatory developments
  • Undertake regular compliance monitoring across the business activities and report to the Board
  • Provide regulatory input regarding new business initiatives proposed and confirm that risks associated with the ventures are understood and assessed.
  • Act as FCA liaison point
  • Confirm that all significant correspondence for any regulatory authority or body is brought to the attention of the Board and any required action taken.
  • Support the ethic of and evidence of Treating Customers Fairly (TCF) and conduct risk exists through training and input regarding processes.
  • Manage and oversee the development of Risk Management Framework; assist and organise risk assessments in the ICAAP review;
  • Adhere to specific duties under CF10; CF11 as described in Chapter 10 of the Supervision Section of the FCA Handbook.
  • Adhere to, and maintain knowledge of, all applicable legislation, including relevant parts of the FCA Handbook, and in particular Statements of Principal and Code of Practice for Approved Persons and the Training and Competence Sourcebook.

The requirements:

  • Maintain understanding of duties and responsibilities as the Head of Compliance; Money Laundering Reporting Officer and Data Protection Officer.
  • Maintain the highest standards of integrity and professionalism in all business and personal dealings.
  • Maintain awareness and understanding of regulatory developments; identify impacts and advise the business accordingly.
  • Ability to apply & interpret FCA rules
  • Minimum ten years' experience in senior compliance role in financial services
  • Degree preferred. Recognised regulatory qualification

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. By applying to this position, you acknowledge that you have read and accept the following terms: https://www.roberthalf.co.uk/privacy-notice

Requirements
Head of Compliance


London

10th Floor, The Shard
32 London Bridge Street
London
SE1 9SG
gb
0207 389 6900
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