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Head of Compliance Commercial Finance Brokerage

Fintellect Recruitment
Job LocationNantwich
EducationNot Mentioned
Salary£40,000 - £50,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

Head of Compliance Our client are a very successful commercial finance brokerage. They offer advice to all businesses on the best route for business funding for their companies. They are an FCA regulated business and now require a full time head of compliance to join their team in the North West.The role of Head of Compliance

  • Oversee the introduction of the new regulatory environment
  • Updating, maintaining and enhancing the firm’s compliance monitoring program, policies & procedures and compliance manual as and when necessary.
  • Transaction reporting
  • Client money monitoring and reporting
  • Reviewing / drafting FCA Approved Persons applications.
  • Liaising with regulators, including responding to routine queries, audits and investigations.
  • Impact analysis and approval of new business initiatives and driving the development of relevant compliance policies and procedures
  • Critically reviewing and approving financial promotions
  • Monitoring regulatory developments affecting the Firm’s business, then working with others team to ensure timely implementation. Assisting with, and the scoping of, thematic reviews in line with the regulators priorities
  • Approving CDD checks for new customers, reviewing existing files for accuracy and completeness.
  • Working with the finance function to prepare regulatory returns to the FCA and NFA, including the ICAAP.
  • Provision of MI to the Board and Compliance Committee.
  • Administering compliance training to staff such as AML and anti-bribery / corruption.
    • You will need for the Head of Compliance Role
  • At least 5 years of experience in compliance, working in-house within a compliance departmentwithin a financial services business.
  • In depth knowledge and practical experience of compliance, knowledge of commercial finance is advantageous
  • Thorough knowledge of (or ability to learn) the relevant regulatory environments (which include but are not limited to FSMA, MiFID, EMIR, CFTC/NFA- also knowledge of SFC is useful but no essential.) and any others that may be required from time to time.
  • Business approach- ability to think outside the box, willing to be flexible in approach when required
  • Entrepreneurial mind-set - ability to manage own priorities and deliver in line with company requirements, ability to work alongside others teams with self-confidence
    • Required skills
  • AML
  • Compliance
  • Compliance Monitoring
  • Financial Services
  • KYC

    • Keyskills :
    AML Compliance Compliance Moniting Financial Services KYC

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