HEAD OF RISK, COMPLIANCE & MLRO – INVESTMENTS AND/OR LIFE & PENSIONS COMPLIANCE EXPERIENCE REQUIRED Ref:4080G Our client, a leading financial services firm, is looking to appoint a new Head of Risk, Compliance & MLRO.
Leading a small Compliance team and reporting directly to the CEO and Board, you will provide Risk, Compliance and AML oversight and hold the associated FCA Senior Management functions SMF16 and SMF17.
Responsibilities include:
Ensure that the companies have the correct level of FCA regulatory oversight and that the procedures and monitoring activity adequately support the mandatory requirements expected for these regulated financial services businesses.
Ensure regulatory returns are completed accurately and in a timely manner.
Review and communicate relevant regulatory developments to ensure the business is prepared for and able to comply with any new requirements.
Chair the Risk Committees, be responsible for the maintenance of the Risk Register and identify, monitor and mitigate risk through monthly meetings.
Maintain appropriate relationships with relevant regulatory organisations.
Manage and carry out the Compliance Monitoring Plan in order to analyse the company's compliance with regulatory requirements including FCA obligations, Data Protection, Fraud Prevention, Consumer Duty and AML.
Create and deliver annual compliance review programme ensuring reviews are undertaken in a timely manner.
Maintain the Compliance Manuals and ensure that all relevant Compliance registers are maintained in a timely and accurate manner.
You must be an experienced Head of Compliance from Investments or Life & Pensions who has gained significant leadership experience including responsibility for liaison with the Regulator or else you will have 10 years senior Compliance Experience (including from the regulator or a consultancy) and now looking for your first SMF 16/17 role.
While a detailed knowledge of FCA rules is required, as important will be your ability to operate at board level and advise & support the board and senior management team across the entire regulatory spectrum in the UK.
This is an exceptional opportunity to join a highly regarded Financial Services business in a very visible position at an exciting time of their continued growth and global expansion.
NB this role will initially be based full time in the office (3-6 months during the bedding in phase) after that a hybrid working arrangement can be agreed.
Office is a bus ride from a mainline station (20 min to Central London) or parking onsite.
So, if that sounds like you, then please send your details to Gary Collins in the first instance (Including a contact number & email) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK.
Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.
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