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Head of Compliance, Risk and Audit.

Ashtree Resourcing Ltd
Job LocationLeeds
EducationNot Mentioned
Salary£50,000 - £60,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

Head of Compliance, Risk and Audit. £50-60,000The Company.

  • Established in 2013, we are a small, outsourced compliance company supporting a variety of retail clients such as Google, Bensons for Beds, Peloton, Made.com, Prentice BMW to name but a few.
  • We have seen 40%+ growth over the past 18 months and the business has remained resilient in the current economic crisis
  • We are a small team with ambitions to double the size of the business over the forthcoming 12-18 months and scale the business beyond.
  • Recently re-locating to Josephs Well in Leeds City centre we operate a bespoke solution for our clients with some key elements being akin to a SaaS based proposition.
  • Albeit small, we have a healthy balance sheet and operate with no debt with a limited number of shareholders who take a back seat in the day to day operations.
  • Recently recruiting a new Managing Director, the business has undergone a review, and this has resulted in the need to hire more people.
    • Overview of Role:Experience in consumer credit and work with CONC is essential. You will have responsibility to make sure that the company is conducting its business in full compliance with all national and international laws and regulations that pertain to its particular regulated permissions as well as professional standards, accepted business practices, and internal standards. There is both an ethical and pragmatic component to the role and it is crucial in helping the business maintain a positive reputation and avoid unnecessary exposure to complaints or litigation. You must act honestly, in the best interests of the company, and with reasonable care at all times.You will have overall responsibility for all compliance management systems that fit within the compliance oversight plan for the Company. Defining the risk appetite alongside the Board, the tolerances associated and the risk register and controls thereafter. Identifying audit requirements within the compliance oversight plan, creating the audit processes, and managing the associated tasks and activity.Overall responsibility of all internal employed and external consultant compliance personnel.Key responsibilities:
  • To maintain certification as a fit and proper person’ under the FCA Certified Persons regime.
  • Working with the Board to design the Risk Oversight plan.
  • Design and ongoing control of all compliance monitoring systems.
  • Due diligence and on-boarding of all new clients.
  • Regulatory updates to PPL Team including the associated business impact.
  • Risk register and associated activity.
  • Audit design, process and outputs.
  • Chair of the Compliance and Risk Committee (CARC).
    • The person.
  • Lives within easily commutable distance of Leeds City centre.
  • Willingness to be hands on’ and able to grow with the business.
  • Positive leadership skills.
  • Strong people management skills both line reports and any client facing interactions.
  • Strong organisational skills to manage all client facing tasks.
  • Solid interpersonal and communication skills with ability to communicate at Senior Board level through to Sales level personnel.
  • Good influencer with can do’ collaborative team ethics.
  • Ability to analyse data and present in a concise and relevant manor.
  • Ability to interpret the regulators principles based
  • Detailed technical experience of consumer credit including, but not exclusive to, the AR regime and secondary broker activity as well as a solid understanding of;
    • - FCA applications and variations of permissions.- FCA Principles and sourcebooks, 11 notifications.- Gabriel submissions.- Financial promotions.- Complaints oversight, monitoring and FOS activity.- Senior Manager Conduct Rules regime. Required skills
  • Algorithms
  • Audit
  • Compliance
  • Financial Services
  • Subprime

    • Keyskills :
    Algithms Audit Compliance Financial Services Subprime

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