The Head of Legal and Compliance is a senior executive responsible for overseeing the legal and compliance functions within Broadstone. This role ensures that the company operates within the law and adheres to all relevant regulations, mitigating legal and compliance risks and maintaining a strong regulatory culture and ethical framework.
* Legal Advisory: Provide expert legal advice to the board, senior management, and other departments on a wide range of issues including corporate governance, contracts, mergers and acquisitions, and litigation.
* Compliance Management: Implement, and maintain compliance programs to ensure adherence to regulatory requirements and internal policies, manage and develop the team.
* Risk Management: Identify, assess, and mitigate legal and compliance risks. Develop strategies to manage these risks effectively.
* Policy Development: Draft, review, and update company policies and procedures to ensure compliance with legal and regulatory standards.
* Training and Awareness: Implement appropriate training to educate employees on legal and compliance matters.
* Regulatory Liaison: Act as the primary point of contact with the FCA and manage all regulatory correspondence/interaction.
* Dispute Resolution: Oversee the resolution of legal disputes and manage relationship with external legal counsel.
* Reporting: Prepare and present regular reports to the board and senior management on legal and compliance issues and developments.
* Company Secretarial: Ensure all company requirements are met, in conjunction with external suppliers.
* Company insurances: Manage all company insurances/insurance broker relationship.
* Education: Law or other relevant degree. Additional certifications in compliance (e.g., International Compliance Association) are advantageous.
* Experience: Minimum of 10 years of experience in legal and compliance roles, within the financial services industry
Qualifications
* Strong knowledge of FCA regulations.
* Excellent analytical and problem-solving abilities.
* Exceptional communication and interpersonal skills.
* Proven leadership and management capabilities.
* High ethical standards and integrity.