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Chief Compliance Officer

Fintelligent
Job LocationManchester
EducationNot Mentioned
Salary£55,000 - £60,000 per annum, inc benefits
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

Fintelligent are supporting an innovative finance services group to secure the services of a Chief Compliance Officer to overseeing the Compliance (SMF16) and Risk Divisions.This is a fantastic opportunity to join an expanding business that provide a wide range of financial services to clients across the UK including a wide range of compliance services, ISA Management, Investment & Peer to Peer Lending programmes.Role responsibilities will include:

  • Keep up to date with any changes to UK Compliance regulations and laws, issued via the FCA and the PRA
  • Responsible for ISA management and compliance with FCA and HMRC rules and guidelines in relation to eligibility and financial promotion
  • Overall responsibility for the firms policies and procedures for countering risk
  • Develop and maintaining compliance policies & procedures, risk assessments and control frameworks
  • Prepare the appropriate reports for the board demonstrating the effectiveness of the risk management and regulatory compliance framework
  • The firms recovery plan and resolution pack and overseeing the internal processes regarding their governance
    • The successful candidate will have the opportunity to work from either the Manchester of Belfast offices and will be in a position to accept a salary of £60,000 + benefits including private medical insuranceTo be considered, the client will be looking for working experience in, but not limited to, the below:
  • Minimum 5 years Compliance/Regulatory experience at a senior level, in a regulated financial services business which must include a significant amount of experience regards the job purpose and competency requirements
  • Demonstrated experience dealing with financial services regulators
  • Solid knowledge of regulatory expectations
  • Awareness and understanding of debentures, equities, securitization and fund management
  • Good knowledge of CREST and Euroclear systems preferable
  • A firm understanding of CASS
  • Strong knowledge of UK and EU financial services regulatory frameworks
    • CVs should be sent and calls will be arranged to discuss your application if suitableINDTL Required skills
  • Compliance
  • Crest
  • Euroclear
  • HMRC
  • ISA
  • Regulatory
  • Risk
  • CASS
  • ICAAP
  • PRA
  • FCA
  • GDPR
  • SMF16

    • Keyskills :
    Compliance Crest Euroclear HMRC ISA Regulaty Risk CASS ICAAP PRA FCA GDPR SMF16

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