We are working with a financial services firm, based in the Midlands, who are looking to hire a new Head of Compliance to their Legal and Compliance function. Our client provides a wide range of financial services to clients from individuals to corporates. Due to continued growth, the firm needs to appoint an experienced Head of Compliance to look after their expanding needs. The role will report directly into the firm's Chief Risk Officer.
- Work to provide an advisory function across all regulatory aspects of the whole business; to ensure best practice and overall compliance to the firm's regulatory policies and procedures.
- Demonstrate high standards of compliance behaviour and actively work to raise awareness of regulatory requirements/ compliance policies.
- Manage all relevant alleged breaches of rules, regulations, policies & procedures; where relevant then oversee uniform handling of these breaches.
- Develop and revise policies to prevent illegal or unethical conduct
- Ensure the education of staff with respect to all compliance matters, applicable laws, rules and standards.
- Be the point of contact within the firm for compliance queries from staff members
- Provide reports updated to senior management on a regular basis to inform them of the operation and progress of all on-going compliance efforts.
- Ensure all reports prepped by the MLRO & Compliance Managers and overseen, along with all compliance work outsourced to third parties.
- Work to develop and revise policies to prevent illegal or unethical conduct/behaviour.
The incoming hire MUST be a qualified lawyer, with experience from a commercial practice/ or regulatory background. Knowledge of the financial services industry (lending, investments, banking, or advice) would be ideal for the incoming professional.
This is a brilliant opportunity to join a leading Financial Services firm as the Head of Compliance.
To apply for the role of Head of Compliance, please click APPLY now.