Head of Compliance required for a superb automotive dealer group in the North West.
The position is available due to retirement later in the year
Responsible for
Ensuring that the business (and its products and services) comply with FCA regulation; performing internal and external compliance monitoring; implementing a robust business continuity programme; ensuring that documentation is compliant with law and regulation; and that anti-bribery policies are implemented.
IMPORTANT FOR YOU TO BE CONSIDERED FOR THE FULL HEAD OF COMPLIANCE:-
TO BE THE SUCCESSFUL CANDIDATE you will be responsible for the full compliance and risk monitoring across the business AND MUST BE A HEAD OF COMPLIANCE SKILLED HUGELLY AS OUTLINED BELOW.
My client I am supporting is a wonderful business and the role being sourced is A HEAD OF COMPLIANCE.
IMPORTANT FOR YOU TO BE CONSIDERED FOR THE FULL HEAD OF COMPLIANCE:-
TO BE THE SUCCESSFUL CANDIDATE you will be responsible for the full compliance and risk monitoring across the business AND MUST BE A HEAD OF COMPLIANCE SKILLED HUGELLY AS OUTLINED BELOW.
My client I am supporting is a wonderful business and the role being sourced is A HEAD OF COMPLIANCE linked to BANKING AND FINANCIAL SERVICES.
Ensure the regulatory obligations under the Senior Managers and Certification Regime are met.
Have strong compliance knowledge and understanding, enabling them to understand and interpret market developments, topical issues and best practice with a view to incorporating them into the firm's business processes and culture.
General
Our client is a leading national IFA firm who are looking for a remote based Head of Compliance (SMF16 & SMF17) to join the business.
We are working exclusively with a successful Investment Management firm who are looking for a Head of Compliance (SMF16/17) to report directly into the board.
The role holder will be responsible for the independent oversight and management of the Compliance function across the business.
Key Responsibilities
Effectively communicating and building relationships with the regulator, trustee and custodian;.
Aids the business to grow and succeed in a compliant way, and aims to help the Division achieve the right balance between risk taking and control.
Carries line management responsibility and a requirement to develop a team that delivers operational compliance 1LoD support to the Division, including FCA regulated complaints management.
Carries operational responsibility for ensuring Barbon's products and services and how they are delivered are in line with regulatory requirements and the Group's policies and standards, in order to provide positive and fair outcomes for customers.