Naukrijobs UK
Register
London Jobs
Manchester Jobs
Liverpool Jobs
Nottingham Jobs
Birmingham Jobs
Cambridge Jobs
Glasgow Jobs
Bristol Jobs
Wales Jobs
Oil & Gas Jobs
Banking Jobs
Construction Jobs
Top Management Jobs
IT - Software Jobs
Medical Healthcare Jobs
Purchase / Logistics Jobs
Sales
Ajax Jobs
Designing Jobs
ASP .NET Jobs
Java Jobs
MySQL Jobs
Sap hr Jobs
Software Testing Jobs
Html Jobs
IT Jobs
Logistics Jobs
Customer Service Jobs
Airport Jobs
Banking Jobs
Driver Jobs
Part Time Jobs
Civil Engineering Jobs
Accountant Jobs
Safety Officer Jobs
Nursing Jobs
Civil Engineering Jobs
Hospitality Jobs
Part Time Jobs
Security Jobs
Finance Jobs
Marketing Jobs
Shipping Jobs
Real Estate Jobs
Telecom Jobs

Head of Compliance

Clayton Davies Ltd
Job LocationBirmingham
EducationNot Mentioned
Salary£100,000 - £140,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

We are working exclusively with a successful Investment Management firm who are looking for a Head of Compliance (SMF16/17) to report directly into the board. The role holder will be responsible for the independent oversight and management of the Compliancefunction across the business.Key Responsibilities:

  • Effectively communicating and building relationships with the regulator, trustee and custodian;
  • Providing advice to the firm regarding the conformity of its business activities in relation to regulatory requirements and best practice;
  • Establishing, implementing and maintaining policies and procedures sufficient to support the firm’s compliance with its regulatory obligations
  • The ongoing assessment and reporting of the adequacy and effectiveness of the controls in place to comply with regulatory obligations, and to address any identified deficiencies;
  • Identifying, assessing and presenting on regulatory change to the Executive Committee and the Board;
  • Investigating, managing and conducting root cause analysis on complaints;
  • Maintaining a record of and monitoring breaches, errors and incidents;
  • Reporting material and emerging regulatory risks or issues to the Board;
  • Providing management information on compliance related matters to the Board, including an annual report on conflicts of interest and product governance;
  • Actively seeking sufficient resources to discharge the firm’s responsibilities under the regulatory system;
  • Regularly reporting to the regulator using the systems and formats provided, including in relation to the Conduct Rules; and
  • Providing compliance related training, including in relation to the Conduct Rules; and
  • Ensuring the firm and its Directors have access to and receive professional compliance advice when required.
Experience Required:
  • Senior level Compliance experience within a Wealth/Investment business
  • Previously holding SMF16 would be beneficial
  • Direct experience liaising with the FCA
Required skills
  • Compliance
  • Financial Planning
  • Investment Management
  • Regulations
  • Wealth Management
  • Compliance Procedures

APPLY NOW

Head of Compliance Related Jobs

© 2019 Naukrijobs All Rights Reserved