thc recruitment£55k-£65k plus great benefits.

Our client is a fast growing market leading investor in people based in the North West.

We are recruiting a new role as Head of Compliance. The role will be responsible for applying the UK regulatory standards required by the Financial Conduct Authority (FCA) throughout the various business areas and offices in the UK.

You will possess a good understanding of broader EU regulation and experience of US regulation is an advantage. This position will see you taking responsibility for ensuring regulatory compliance standards are met while building and maintaining a successful compliance culture. While this position will concentrate on the UK initially, there will be additional responsibility as we develop growth plans into Europe.

The Candidate:

  • Experienced leader - capable of managing complexity.
  • Strong communication skills - able to articulate complex matters simply.
  • Strong diplomacy and negotiating - able to reach an acceptable conclusion where there are divergent views, but stand firm where that is required.
  • Possess great personal and professional integrity - highly credible and respected by key partners.
  • Expert knowledge of the regulatory expectations with current FCA regulation experience essential.
  • Strong judgment - able to identify and focus on key issues and guide and advise others. 
  • Experience of managing and developing colleagues across multiple locations. 
  • Skilled communicator with experience in dealing with a range of stakeholders including executives and other senior leaders. 
  • Commercially aware with the ability to make decisions that identify and consider risks specific to the business.

Key Responsibilities:

  • Monitor and interpret regulatory change and developments to ensure the impact on the business is highlighted and assessed.
  • Oversee any projects to implement regulatory change.
  • Ensure that changes required to the Firm’s policies and procedures are pro-actively evaluated, identified and remedied.
  • Contribute to assessments to ensure the integrity of policies and controls in place.
  • Complete internal risk assessments where appropriate.
  • Provide reports for senior management on current, emerging and thematic risks and issues.
  • Ensure staff familiarity with compliance procedures.
  • Oversee a regular programme of compliance monitoring to FCA standards and ensure the company is fully compliant with current rules.
  • Contribute to product reviews and new product creation to ensure product governance.
  • Oversight of any financial promotions to ensure compliant and fair, clear and not misleading.
  • Providing training support and advice across the business and ensure all staff meet the training and competency requirements.
  • Oversight of all FCA reporting via Gabriel and Connect.
  • Acting as a key point of contact with the FCA and communicating effectively with them.
  • Identification and monitoring of risks for the business, leading the Risk Management Group and taking responsibility for managing Risk.
  • Manage the periodic reporting to the Board to identify compliance priorities and risks.
  • Create and sustain a positive compliance culture within the business.
  • Management and oversight of Complaint handling team.

Essential Experience:

  • Anti Money Laundering legislation including implementation into policy and compliance management.
  • Holding the CF10 and CF11 Controlled Functions and/or being an Approved Person.

Key Skills:

  • Experienced leader - capable of managing complexity.
  • Strong diplomacy and negotiating - able to reach an acceptable conclusion where there are divergent views, but stand firm where that is required.
  • Expert knowledge of the regulatory expectations with current FCA regulation experience essential.
  • Experience of managing and developing colleagues across multiple locations.

Contact: If you are interested in this role, please email your CV to danielle@thcrecruitment.co.uk