My client is a Network Investment Platform business, and they seek an Interim Compliance Director to join on a 6-month fixed term contract to work on a hybrid basis out of their London office and in return a competitive salary is on offer.
The primary purpose of the role is to be accountable for, and provide leadership to, the Affluent segment Compliance team. The role holder will report to the Chief Risk Officer and be a member of the Group level Risk Leadership Team.
The role holder will be accountable for Compliance Advice (including ESG), Compliance Monitoring and Thematic Review, Regulatory Relationships, Regulatory Change, and Data Protection.
This role does not hold SMF responsibilities.
Risk Leadership
This role is a member of the Group level Risk Leadership Team, supporting the "firms Risk Function", culture and approach, fostering positive relationships and providing robust second line challenge and coordinating an effective Second Line function across the Group.
This role will support the CRO in maintaining an effective second line framework, including supporting on strategic initiatives as needed. It supports the CRO in respect of enhancing and optimising second line arrangements.
Identifies and nurtures talent to ensure appropriate succession planning within the team, creating an internal pipeline of high potential employees to ensure the delivery of the function's goals and continuity.
Compliance Advice
This pan-Affluent segment role has full accountabilities for all aspects of compliance advice. This covers oversight of compliance reporting, general and change advice/guidance, compliance policy attestation and maintenance, regulatory risk and compliance training, conflicts of interest oversight, STAR Compliance configuration, financial promotions approval, regulatory permissions, regulatory returns oversight, support to SMCR applications, complaints related advice, remediation oversight and special authorised representative investigations.
Compliance Monitoring and Surveillance
This role will provide assurance on the effective management of compliance risks, through ongoing monitoring and periodic thematic review, providing incisive and timely reporting to the segment executives, including the identification of emerging risks and areas where the risk profile is out of appetite.
Regulatory Relationships and Regulatory Change
The third key area of pan-Affluent segment accountability is Regulatory Relationships and Regulatory Change. This encompasses regulatory change advice, horizon scanning and regulatory interpretation, regulatory policy making engagement, oversight of regulatory change implementation, support to SMCR applications, regulator engagement and visits, information to regulators, managing regulatory requests and co-ordinating regulatory actions, waivers management and the management of the regulatory returns calendar.
Data Protection
Oversight for the Data Protection framework ensuring Data Subject Rights Management and ownership and the appropriate management of Data Breaches. You will have oversight for Affluent ROPA
Ready to make an impact and embark on your career in forward-thinking business? Submit your CV today to avoid disappointment! If you have any questions, please contact Leanne Appleton at Reed on .