Director of Compliance

Salary up to £110K DOE

Yorkshire area

Our client an impressive financial services business requires a Director of Compliance to lead and drive the business standards. The core responsibility is to oversee all of the compliance functions for the business and deliver an effective conduct risk framework. Experienced, strategic but also someone who is ready to take the next step to board level in the next 6-12 months is required for this role.

Key Deliverables:

  • Lead the Servicing Risk & Compliance teams
  • Embed, maintain and oversee the Servicing Business Units’ compliance framework to maintain an effective FCA conduct risk regime, balancing compliance, risk and performance pressures, through provision of appropriate advice and oversight.
  • Assist in achieving company strategy, including to maintain compliance as the key focus of Our client, and influence all areas of the business to deliver the desired compliance & performance culture
  • Design and deliver efficient and effective 2nd and 3rd line of defence framework, to support improving standards and capabilities to strengthen the company’s conduct risk position
  • Evaluation of all regulatory and best practice compliance developments and the embedding of such across the organisation
  • Develop positive and transparent relations with industry Regulators and Trade Associations to develop a strong working relationship.
  • Utilise industry knowledge and relationships to support our Clients’ understanding of the changing regulatory landscape.  Keeping them abreast of developments and, where possible, establishing common ground and approach on matters which affect both parties.
  • Provide clear, pragmatic, advice, guidance and support to the senior management team regarding regulatory issues and / or change.
  • Ensure the provision of efficient and effective guidance to all business areas regarding regulatory requirements and risk, supporting the development of internal processes, procedures and controls as required.
  • Ongoing client liaison, including involvement in new business tenders, change and definition
  • Oversight of the delivery of the FCA Principles, including TCF in the culture of Our client, ensuring that management information provides oversight of such
  • Ensure continuous assessment and analysis, reviewing and updating current compliance policies and procedures, drafting new documentation as appropriate.
  • Lead root cause analysis and escalate risks, risk events, issues and ongoing matters to the Executive Board.
  • Act in the capacity of Data Protection Officer on behalf of the Company, undertaking all associated duties
  • Act in the capacity of Money Laundering Reporting Officer on behalf of the Company, undertaking all associated duties

 

Knowledge / Skills / Experience:

  • A proven track record of delivery in a senior compliance role within the Financial Services industry.
  • Thorough understanding of FCA requirements and the FCA Handbook
  • Strong policy and document drafting skills
  • Strong leadership and people management skills
  • Ability to communicate and influence at all levels with the gravitas to liaise with clients, our Regulator and other industry bodies
  • Sound commercial acumen
  • Educated to degree level

 

 

 

 

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