Head of Compliance

Job Description:

Our client, a successful financial services company, has a great opportunity available for an experienced compliance professional to join their team as Head of Compliance on a permanent basis.

In this broad role you will be responsible for the operational and reporting capacity in all compliance, regulatory, governance and risk matters, ensuring that the company meets its obligations and customers receive good outcomes.

• Strong compliance experience from wealth management or financial services.


• Strong stakeholder management skills and experience.


• Compliance monitoring experience


• Regulatory reporting and regulatory compliance experience


• Strong communication skills

• Implementing/reviewing/updating compliance policies, procedures/financial crime procedures.


• Preparation of the annual Compliance report for the firm's senior management.


• Preparation of the annual Consumer Duty Governing Body report for the firm's senior management.


• Be proactive in engaging in FCA news, publications, direct correspondence, thematic reviews and ensure relevant information is communicated to the management team/Board/personnel.


• Preparation of Compliance report for quarterly board meeting.


• Preparation of Compliance report for monthly management meeting.


• Prepare evidence/data for external audits as required.


• Carry out the due diligence process for professional introducers/new suppliers/advice & research tools/third party providers as required - creating and maintaining appropriate records and up-dating due diligence checks (at least annually) to ensure compliance with required standards.


• Review content for accuracy and ensuring content covers key reporting issues.


• Check for up-dates and notifications from regulatory bodies (FCA, FOS etc) as well as Compliance Consultants.


• Maintain up to date Compliance Monitoring Programme monitoring records (e.g.
  
  Financial Crime, incidents, breaches, complaints etc) and report any significant movements in risk.


• Lead in projects to continually improve quality of MI gathered by firm.


• Maintain accurate and up to date Incident & Breach records.


• Identify material breaches or significant risks.


• Accurate and timely reporting of FCA periodic reporting ensuring adequate supporting records are held so as to maintain a clear audit trail.


• Ensure the regulatory reporting requirements are met and all returns are submitted to the FCA by their due date


• Plan and manage the allocation of any work required for an FCA thematic review.

• A highly competitive salary


• Wider Benefits package

Core-Asset Consulting is an equal opportunities recruiter and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.

Job reference: 15723

To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.

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Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.

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