I am currently working on behalf of a very exciting organisation who bring a diverse range of financial services together to provide support to businesses looking to expand and as their funding requirements change.
Entrepreneurially led and with significant plans to grow organically and through acquisition, they are currently looking to recruit a Risk & Compliance Director to act as an ambassador for the Groups compliance culture and standards, demonstrating the highest standards of compliance behaviour and to raise awareness of regulatory requirements and compliance policies.
Providing an advisory role for regulatory aspects across the whole group, you will be responsible for ensuring best practice and adherence to the groups compliance and risk regulatory policies and procedures.
Key responsibilities include:
- To set a risk and compliance framework for the Group in line with the ethics, principles and culture.
- To take overall responsibility for the advice, management and development of the groups risk and compliance systems Group wide.
- To advise the Management Board in the implementation of risk and compliance matters across the Group.
- To provide risk and compliance board reports for the group companies identifying risk and compliance issues - to include AML, Data Protection, GDPR and Cyber Security.
- To manage the Risk & Compliance team and provide leadership and supervision to them and their work.
- To be the designated and registered FCA Money Laundering Reporting Officer, FCA Compliance oversight, DPCO and Risk Manager.
- To ensure the completion of regulatory returns and be the key relationship contact for the FCA and Information Commissioners Office.
- To participate in the development of the Groups companies risk assessment system and to monitor and ensure the robust management of each individual high risk issue notified under that system.
- To take robust appropriate action ensuring the effective management of risk within all business lines - including chairing the Group Risk & Governance meetings.
- To investigate all breaches and near breaches of all regulations and statutes covering the group and report as required.
- Provide guidance and recommendations on corrective actions or risk mitigation strategies in order to remediate non-compliant situations to Senior Management and the executive.
- Ensure risk and compliance training is delivered effectively to all staff.
- Develop and maintain regulatory awareness amongst all staff.
- Maintain an up to date high level of knowledge and understanding of UK regulations, including the FCA Handbook, money laundering regulations, JMLSG Guidance Notes, Sanctions, Treating Customers Fairly and their implications upon the business activities of the group.
Financial Conduct Authority
- Monitor adherence to policies and report on FCA compliance activities
- Work with the individual company Risk and Compliance teams to implement FCA regulatory requirements into the firm's compliance programme within its FCA Part IV Permissions.
- Oversee and monitor the implementation of a cohesive Compliance Monitoring Programme ("CMP").
- Carry out risk assessments of business activities for inclusion in the CMP, escalating breaches and risks and ensuring remedial actions are taken.
- Periodically revise and update the CMP in light of changes in the business activities of the group and FCA regulation.
- Pro-actively share CMP findings with colleagues to ensure policies, training and support addresses any shortcomings.
- Structure and oversee independent reviews to evaluate emerging regulatory risks and control weaknesses identified in compliance activities.
- Carry out the final review and sign off if required, of FCA financial promotions and record compliance approval.
- Liaise with the appropriate group business directors to manage consumer complaints in relation to FCA activities and in accordance with FCA regulatory requirements and in-house procedures.
- Extensive experience operating in a senior compliance role in an FCA regulated environment.
- Has been previously and will become the SMF 16/17 for the Group companies
- Ability to build supportive relationships within the different group companies.
- Makes commercial business decisions and is resilient in the face of resistance.
- Judgement to balance commercial and compliance risks to achieve positive outcomes.
- Provides strong leadership, mentoring and coaching within the team to develop skills and expertise.
- Proven "people skills" in terms of recruiting, appraising, developing and motivating staff.
- Excellent communication both written and verbal.
Salary range is broad and entirely commensurate with experience but will reflect the importance of the role. Benefits are significant and will also include a lucrative bonus potential which will dependent on individual and company success.
MERJE has been appointed exclusively on this role and any CVS sent direct to the client will be forwarded through to MERJE for consideration
Please note, should you not receive feedback 28 days, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.
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