Head of Compliance - Chester Leadership
Chester - North West
Role and Responsibilities:
* Working with the firms Chief Risk & Compliance Officer/MLRO to ensure the firm remains in compliance with its regulatory obligations (including, but not limited to, SMCR, the Consumer Duty and Relevant FSMA regulated activities).
* Second line of defence, facilitating the building and/or monitoring/challenging the first line of defence controls within the firms risk and compliance framework.
* Support the delivery and effectiveness of the firms Non-Financial Risk management framework, and the Enterprise Risk management framework.
* Responsible for the firms whistleblowing framework, ensuring that staff are aware of the policy and that the whistle-blowers are protected and their names remain confidential.
Working with the Core Management Team:
* 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 Firms policies and procedures are pro-actively evaluated, identified and remedied;
* Contribute to assessments to ensure the integrity of compliance 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 they are compliant and fair, clear and not misleading;
* Providing training support and advice across the business and ensure all staff meet the training and competence requirements;
* Input on all FCA regulatory reporting (RegData, Connect etc);
* Acting as point of contact with the FCA and other regulatory bodies where required and communicating effectively with them;
* Identification and monitoring of risks for the business and taking responsibility for managing Risk;
* Manage the periodic reporting to the firms Senior Management to identify compliance priorities and risks;
* Create and sustain a positive compliance culture within the business.
Core Competencies and Knowledge:
* Extensive knowledge of the relevant regulatory landscape (including but not limited to FSMA, CCA and relevant provisions of FCA Handbook)
* Senior compliance officer level experience is essential;
* Capable of managing complexity;
* Strong communication skills - able to articulate complex matters simply;
* 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 identify and focus on key issues and guide and advise others.
* Experience of managing and developing colleagues across multiple locations.
* 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.
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