Head of Compliance CF10/CF11

130000 - 125000
26 Feb 2019
05 Apr 2019
Professional / Specialist
Contract Type
FCA Approved Person (CF10) covering
  • Oversight of compliance for three regulated companies, including a SIPP operator
  • Ensuring processes, systems and controls in place to comply with FCA requirements
  • Training, educating and promulgating compliance policies and processes to affected staff
  • Completion of FCA reporting of business activities
  • Regulatory Compliance assessments
FCA Approved Person (CF11) covering
  • Oversight of AML controls for three regulated companies and support for unregulated companies in relation to pension scams
  • Ensuring processes, systems, controls and training in place to comply with ML Regulations and Sanctions requirements
Data Protection Officer covering
  • Oversight of GDPR related compliance and risk management
  • Responsible for data breach reporting
  • Work with the Legal team to review and negotiate GDPR compliant contracts

 Experience at a senior level in the Compliance team of an FCA-regulated business with hands-on knowledge of: FCA regulatory returns and reporting, including PSDR, RMAR and Connect FCA consultation and rule changes Writing and integrating Compliance policies and procedures using plain English Formal sign off for financial promotions Knowledge and understanding of SIPP and SSAS business As one of our companies is a SIPP operator and SSAS administrator, knowledge of SIPPs and SSASs in general and detailed knowledge of FCA SIPP operator requirements is essential Knowledge and understanding of the regulated advice process for corporate clients, in particular investment advice to pension schemes Knowledge and understanding of AML requirements as they apply to pensions business, including KYC, Sanctions checking and prevention of financial crime

A well known pensions provider

Competitive package on offer

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