Head of Compliance Officer

Gleeson Recruitment Group
£80k - 95k per year + Benefits
07 Jun 2017
23 Jun 2017
A fantastic opportunity as arisen in the Midlands for a Head of Compliance Officer. POSITION SUMMARY – Head of Compliance Officer Holding CF10 position, The Head of Compliance Officer will be responsible for all aspects of regulatory compliance for the business. This includes monitoring policies and processes and implementing changes as needed to ensure compliance to regulations KEY ACCOUNTABILITIES Provide comprehensive ongoing regulatory review and advice Responsible for the day to day compliance monitoring to whole business Acting as primary contact and developing relationships with key bodies such as FCA Developing and managing the Business’s compliance monitoring programme and periodic due diligence Oversight and assessment of the firm’s risks. Developing and maintaining the company’s compliance manual Monitor the effectiveness of current policies, procedures and implement changes to meet new regulations Provide quality management information to the relevant first and second line committee Ongoing review of counter-party and third party service provider arrangements Anti-money laundering arrangements and controls Compliance update and review of fund documentation Ensuring all appropriate business processes are monitored, reported on and recorded Review of contract/documentation storage and management Keeping abreast of all regulatory developments and changes such as scheme changes etc Organising compliance training for relevant staff. Ensuring that annual regulatory training plan educates and encourages staff Create and manage operating metrics, financial controls, and performance indicators to enhance the company direction and strategy KNOWLEDGE AND EXPERIENCE –Head of Compliance Officer Experience in previous CF10 role desirable At least 3 years’ experience in a Compliance role at an FCA regulated firm Strong regulatory compliance, investigation or audit experience gained within a financial services, legal or regulatory environment demonstrating solid understanding of FCA rules Experience advising and liaising with senior management and stakeholders Must be adaptable and able to adjust efficiently to changes within the FCA regulations COMPETENCIES – Head of Compliance Officer Good, clear communicator on all levels including board members Must be adaptable and able to adjust efficiently to change Conveys detailed information in a concise, accurate manner in written communications Independently prioritise work and anticipate and address barriers including wider business impact Ability to learn on the job Attention to detail, takes pride and care in regard to quality of work Understands the impact of his/her behaviour and decisions has on others and the company Understands how the quality of his/her work affects others and the company This job was originally posted as www.totaljobs.com/job/74177582

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