Our client is a long established and highly regarded UK Private Bank and an exceptional opportunity exists for an individual to formulate, execute and document the Company’s Compliance strategy, manage and lead the compliance team, provide appropriate assurance to the Board and Management as to compliance with appropriate regulation and legislation.
The role is a Senior Manager under the SMCR, and you are subject to both the PRA / FCA Individual, and Senior Manager Conduct rules.
- To formulate and document the Company’s compliance strategy based on government legislation and the regulators rules and guidance on best practice.
- To develop and implement appropriate controls and monitoring in the context of the business model to ensure that the firms meets its statutory and regulatory obligations
- As Data Protection Officer, to take the lead in providing expert advice and the promotion of data protection compliance and best practice in setting and maintaining standards and procedures across the firm.
- To work with all areas of the business to embed the culture of good compliance practice and in particular treating customers fairly.
- Ensure the timely provision of reporting and management information
- Responsibility for the Compliance Advisory and Monitoring teams (different locations)
- Provide assurance to the Executive Committee that the team is able to produce and deliver effective plans and programmes in relation to all compliance areas
- Attendance at the Board Risk, Compliance and Legal Committee
- You will have operated as Head of Compliance ideally in a Private Banking or Wealth management environment
- Strong familiarity with the regulatory environment, particularly PRA/FCA
- Excellent people management skills. Ability to motivate/inspire the team and its members to perform and add value to the broader business
- Confident and comfortable communicating with teams and individuals across all hierarchical levels
- Strong commercial focus
There is an expectation to be able to travel to the firm’s other main UK office at least 2-3 days per week.
- Financial Services
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