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Head of Compliance

Birchlake Recruitment Ltd
Job LocationWales
EducationNot Mentioned
Salary75,000 - 85,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

We are delighted to be working with a retail financial services company within the insurance space, who are looking to appoint a Head of Compliance to join their team. The successful candidate will be responsible for leading the risk and compliance function,which includes assessments of regulatory obligations, oversight and management of the compliance strategy and action plan, and the implementation of policies and procedures. The role offers a hybrid working model and excellent benefits.The successful candidate will have/be:

  • Experience in a management-level regulatory compliance role
  • Experience designing and delivering compliance training
  • Experience of working in an international operating environment, with significant operations in the US
  • On-line / digital consumer facing business experience
  • Driven, competitive and perpetually motivated to add value
  • Business focused above all else
  • Enthused and motivated by fast moving, challenging environments and business transformation
Primary Responsibilities:
  • Lead the Risk & Compliance function, including assessment of regulatory obligations, oversight and management of the compliance strategy and action plan, implementation of responsive policies and procedures, and monitoring and assessment of compliance efforts.
  • Management of the day-to-day compliance function, including supporting the business units and employees in accomplishing their objectives in an effective, compliant manner.
  • Overseeing the establishment, maintenance and review of procedures to ensure all staff are aware of relevant regulatory requirements and receive sufficient and adequate compliance training where necessary.
  • Reporting to senior management on compliance matters, including to the Board and the Audit and Risk Committee.
  • Help to ensure that senior management have the compliance information necessary for the performance of their tasks.
  • Managing relationships and coordinating communications with regulators, including ensuring the timely filing of regulatory reporting as required.
  • Have awareness for and comply with relevant entities constitutional documents and regulatory obligations.
  • Comply with regulatory obligations imposed on a senior manager holding SMF16 and SMF4. In relation to the company, this will include complying with the FCAs conduct rules.
  • Lead the risk management activities, including committee and board reporting, identification of principal risks (internal and external).
  • Oversees the ongoing development and communication of risk management framework
  • Coordination of certain inter- and intra-department improvements and initiatives.
For more information about this fantastic Head of Compliance role, please get in touch.

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