Head of Risk and Compliance
Hertfordshire
Up to £100,000 + Benefits
We are currently recruiting for a Head of Risk and Compliance on behalf of our client, a highly regarded SME fintech business based in Hertfordshire.
The key purpose of the role is to provide a practical, hands-on and delivery focused Risk and Compliance service to the shareholders, directors and employees of the company.
Key Responsibilities
1. Keep the business and its leadership team safe from regulatory sanction.
2. Leading and managing a small Compliance team to ensure processes, procedures and services delivered adhere to the regulations that apply to FCA regulated businesses.
3. Ensuring that all relevant regulatory requirements are met, including the FCA’s Conduct Rules and Principles.
4. Monitoring and briefing directors and the senior leadership team on regulatory themes and pronouncements as needed.
5. Providing Compliance and AML oversight.
6. Acting as the Data Protection Officer.
7. Ensuring that all Director’s applications or removals to the FCA are undertaken in a timely manner.
8. Chairing the Risk Committees.
9. Taking ownership the Training and Competence Scheme, ensuring (in conjunction with HR) that it is suitably documented and monitored annually.
10. Managing and carrying out the Compliance Monitoring Plan in order to analyse the...