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Head of Compliance

EKIM Consulting
Job LocationNewport, Gwent
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

Role backgroundMy client is a leading regional Building Society which has its head office in Newport, South Wales. The Society provides a range of mortgage and savings products and a broad range of ancillary services, including insurance, financial planning, legal services and funeral plans are also provided by a number of other third party companies.This business is a mutual organisation and operates through a network of branch and agency offices, covering the M4 corridor from Chepstow in the east, to Swansea in the west.The Society is authorised by the PRA and regulated by the FCA and the Prudential Authority. The business are now looking to hire a "Head of Compliance" to be the "SMF16" for the Society, ensuring effective compliance oversight and supporting the Head of Risk and Compliance in developing a robust compliance framework and its implementation within the Group. The role will be managing a team of 3 people and will be accountable to the "Chief Risk Officer".Job purpose

  • To monitor and assess the effectiveness of laid down procedures and controls to maintain compliance with regulatory and other requirements.
  • To maintain effective compliance and conduct risk across the society.
  • To act as the society DPO, being the SME on Data Protection in an oversight capacity, conversant with key regulatory requirements e.g GDPR
  • To support the business on matters relating to compliance and conduct risk through on demand and advisory activities.
  • To effectively challenge and oversight business on compliance and conduct matters, ensuring a strong risk aware culture in line with the Enterprise Risk Management Framework (ERMF) is embedded into the business.
  • Ensure new and emerging regulatory changes are tracked for relevance to the Society and Executive owners assigned where required.
  • Liaise with the FCA and PRA and other regulatory bodies as required.
  • Maintain adequate resources within the team and manage direct reports.
  • Support the first line compliance/QA team in driving a strong compliance culture.
    • Experience required
  • Significant experience in a financial services sector preferably in a similar systems and compliance management role
  • Experience of providing support to wider business function
  • Experience of Word, Excel and other Microsoft Office Packages
  • DPA and GDPR experience
    • Education
  • Educated to degree level or equivalent experience
  • Regulatory Risk/Compliance/Conduct Certificate/Diploma training
  • ICA/IRM certificate/Diploma
    • Benefits package
  • Competitive salary
  • Car allowance
  • Private Healthcare
  • 28 days holiday
  • Pension
  • Agile/Flexible working on offer
    • Required skills
  • Compliance
  • Regulatory Requirements
  • Risk
  • Data Protection Manager

    • Keyskills :
    Compliance Regulaty Requirements Risk Data Protection Manager

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