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Head of Compliance (SMF 16/17 - Investment)

Employer
GCS
Location
Somerset
Salary
80000.00 - 950000.00 GBP Annual + Flexible working/Bonus/pmi etc.
Closing date
29 Jul 2021

View more

Sector
Banking
Responsibilities
Accounting
Position/Level
Professional / Specialist
Contract Type
Permanent
Language
English

Head of Compliance (SMF16/17)

Sector: Investment Management (GBP10+ Billion under funds)

Location: You can work fully remote (The business has offices all across the UK, London, Bristol, Midlands, Liverpool, Manchester to name a few).

Role purpose

To assist the Board in ensuring the business continues to meet its regulatory obligations. You must be a trusted business partner with the capacity to get things done through collaboration, effective communication and persuasion.

You will lead the Compliance team in delivering high-quality compliance advice, oversight and challenge to the business, as well as performing the Compliance Oversight and Money Laundering Reporting functions (SMF16 & SMF17).

Key responsibilities

  1. Lead the Compliance Team in delivering and maintaining a programme of monitoring, that reviews operational business activity to assess that regulatory requirements are being complied with.
  2. Deliver, maintain and oversee the firm's risk management framework.
  3. Carry out the role of MLRO, responsible for oversight of the firm's compliance with the FCA's rules on systems and controls against money laundering.
  4. Provide advice and assistance to the Board and staff to help them meet their regulatory responsibilities
  5. Provide analysis and early warning of regulatory change which may impact the business.
  6. Ensure there is Compliance input and support for business led projects and Compliance led projects are delivered to plan.
  7. Ensure customer communications, including financial promotions, are reviewed and approved in line with FCA rules and guidance.
  8. Ensure the firm's compliance policies and procedures are kept up to date; that they are appropriate, proportionate and understood by the business, driving the right compliant behaviours.
  9. Ensure the firm's regulatory permissions for its activities are accurate and up to date.
  10. Oversee the completion and submission of the firm's regulatory returns.
  11. Ensure the Compliance team promote a strong compliant culture within the business, through training and general awareness activities.
  12. Oversee compliance with the firm's Training & Competence Scheme
  13. Provide independent reporting to the Board, Committees and senior management as appropriate, on where the firm currently sits with their regulatory compliance.
  14. Help raise awareness of the regulations and industry standards which apply to the firm and its business model

Essential Skills

  • Able to lead and manage staff
  • Able to prioritise and manage competing & changing team priorities
  • Able to prioritise own work to strict deadlines
  • Attention to detail
  • Able to problem solve and deal with complex queries
  • Strong written and verbal communication skills
  • Good stakeholder management, at all levels
  • Able to persuade and influence
  • Good numeric skills

Experience

  • At least 5 year's FCA regulated compliance experience, including managing a team.
  • Must have held the SMF17 (CF10) functions previosuly
  • Experience working in a MiFID Investment Firm/Fund Manager/Wealth Manager

If you would like to know more please do get in touch, we can set up a confidential call this week.

Email: (see below)

GCS Computer Recruitment Services is acting as an Employment Agency in relation to this vacancy.

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