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Head of Compliance

Willow Resourcing
Job LocationWilmslow
EducationNot Mentioned
Salary£60,000 - £75,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

A Head of Compliance is required by a rapidly expanding, highly entrepreneurial Financial Services provider as they prepare for the imminent arrival of FCA regulation. It is therefore likely that this will become an SMF16 and SMF17 position in due course. This is a really exciting and challenging opportunity as, in addition to becoming FCA regulated, the business is also looking to launch a major new product offering in 2021.Reporting directly into the CEO, this is a really broad role that will involve

  • Covering all aspects of compliance, including recruitment and training processes and records, sales scripts, marketing materials and websites, customer documentation, call monitoring, GDPR, Bribery & Corruption, risk management, FCA liaison and reporting, complaints etc.
  • An initial period of designing/customising and implementing all of the above policies and processes to obtain FCA approval, with the help of an external Compliance consultancy.
  • High-level discussions regarding compliance strategy, design of new products, potential acquisitions, FCA strategy etc.
  • Meetings with the FCA and liaison with external Compliance consultants.
  • Management of routine compliance processes within Sales, Ops, IT, Finance, marketing departments
  • Rolling your sleeves up to listen to calls, design documents, resolve customer disputes and being available for advice around the office.
    • This is a fantastic opportunity for a seasoned Compliance professional with a proven track record of operating at a similar level within an FCA regulated firm. Previous experience of debt management or consumer credit would be of particular interest, although applications are welcomed from all areas of the financial services spectrum. It is likely that you will have worked in a highly entrepreneurial, SME or FinTech environment previously and you must have experience of working closely with Executive Management teams. Required skills
  • Compliance
  • Financial Services

    • Keyskills :
    Compliance Financial Services

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