Head of Compliance

Job Description:

Do you have relevant significant experience in compliance within an FCA regulated firm? Our client, a leading financial services firm, is seeking a Head of Regulatory Compliance to lead the regulatory team on a permanent basis.

Strong people management and stakeholder management skills are essential for this role.

Experience in IFoA is desirable.

This role can be based in Edinburgh, Glasgow or London.

• Extensive compliance experience in an FCA regulated firm.
  
  Experience gained in financial services, ideally financial planning or asset management and/ or professional services


• Strong understanding of the FCA Handbook and other relevant regulations such as the Bribery Act or Money Laundering regulations


• Experience in IFoA is desirable


• Relevant professional qualification, for example a Compliance Diploma or equivalent


• Good working knowledge of IT systems, such as SharePoint is desirable


• Ability to influence


• Excellent at building relationships and working collaboratively with a wide range of people


• Excellent communicator

• Ownership of the strategy, business plan and budget for Regulatory team.


• Provide effective compliance advice and guidance to senior management and business units


• Maintain and update documentation related to compliance activities.


• Investigate and address compliance issues and breaches.


• Support second line of defence oversight; monitor compliance with regulatory requirements and internal policies and oversee our compliance monitoring plan.


• Monitor the regulatory perimeter as our business activities change and grow.


• Produce and present effective management information


• Manage and oversee all relevant regulatory reporting and communication requirements


• Develop and manage direct reports and ensure the team are recognised internally as professional, partnering and solutions driven


• Maintain on-hand external compliance experts to supplement the team as needed.


• Keep up to date with developments which may affect FCA regulated firms, risk and governance framework/activities of the firm.

• 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: 16031

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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