Head Of Compliance

Business Development Director - North West

Hybrid

Chester

The Role

Working with and as part of the Executive Leadership Team you will:

• 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;

The Responsibilities

• Compliance Oversight: Responsible for the provision of regulatory guidance to other senior managers and those under the certification and conduct regime.
• Whistleblowing: Responsible for the firm’s whistleblowing framework, ensuring that staff are aware of the policy and that the whistle-blowers are protected and their names remain confidential.
• Data: Responsible for providing regulatory guidance to other senior managers with respect to data usage. Responsible for data governance, policies and procedures, ensuring we comply with the data protection obligations, GDPR obligations and providing advice for data protection impact assessments. Responsible for internal compliance with data protection legislation and internal data policies and procedures.
• Overall responsibility of the delivery and effectiveness of the firms NFR management framework

The Requirements

• Experienced leader - capable of managing complexity;
• Strong communication skills - able to articulate complex matters simply;
• Previously approved as SMF by the FCA
• Extensive knowledge of regulatory landscape as applicable to the firm (to include FCA Handbook (and associated sourcebooks CONC, SYSC, PRIN)
• Significant knowledge of the financial services industry, in particular the firm’s target market of SME lending;
• Strong diplomacy and negotiating - able to reach 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;
• Strong judgement - able to identity and focus on key issues and guide and advise others.
• 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.
• Experience with Anti Money Laundering legislation including implementation into policy and compliance management;
• Ability to handle confidential and sensitive information with appropriate discretion.