HEAD OF COMPLIANCE FUNERAL PLANNING - REMOTE - SENIOR RETAIL COMPLIANCE EXPERIENCE INCLUDING HOLDING SMF 16 REQUIRED

HEAD OF COMPLIANCE (FUNERAL PLANNING - REMOTE) – SENIOR RETAIL COMPLIANCE EXPERIENCE (INCLUDING HOLDING SMF 16) REQUIRED

Ref: 4019G2

£75K - £80K + bens & bonus                          Remote (UK)

Our client a Funeral Planning business is looking to appoint a Head of Compliance to support the CEO and board in further developing the compliance function, frameworks and programme.  As part of the senior management team and holding SMF16, duties will include:

·       Regulatory compliance management within the business; coordinating and developing the compliance monitoring calendar and internal deliverables across the business

·       Designing and maintaining the Compliance Monitoring Programme (CMP)

·       Ensuring the business complies with FPCOB permissions and any future permissions that may be commercially appropriate

·       Submitting Regulatory Returns, including Quarterly and/or Annual Financial Returns and other reports to FCA, within the prescribed deadlines, and the gathering of internal information in response to regulatory requests

·       Managing the relationship with the FCA effectively, handling FCA compliance queries

·       Recommending and initiating changes to systems, controls and procedures in response to FCA Rule changes

·       Reading, and understanding the implications of, FCA Consultation Documents, Policy Notices, Notices of Disciplinary Action, Regulatory Updates and other publications etc

·       Designing and maintaining the Compliance Policies and Procedures Manual ensuring that it is up-to-date at all times

·       Reviewing and approving all non-real time financial promotions and published recommendations prior to their issue by, or in the name of, the business

·       Ensure Consumer Duty regulations are understood and implemented

·       Undertaking and advising on compliance oversight on product changes

·       Continually look to enhance processes and systems for effectiveness and efficiency

·       Lead the compliance team ensuring resources are appropriately managed and deployed

The successful candidate must have previously held the SMF 16 in a Retail financial services business and have the ability to cultivate a positive compliance culture, foster executive level relationships and influence & direct your colleagues at all levels.

This is an excellent opportunity to join a well-established firm in a role that will be visible and influential across the business and role is offered as fully remote (UK based).  

If this sounds an interesting opportunity and would like to know more, please send your CV to Gary Collins - (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