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Finance and Compliance Director

Robert Walters
Milton Keynes
75000.00 - 90000.00 GBP Annual + Hybrid + Benfits
Closing date
30 May 2023

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Managing Director
Contract Type

Robert Walters are working with a well established Financial Services company, to recruit for a Finance Director (Compliance) in their Northern Home Counties Division.

Overall Objectives:

* Take ownership and work with the company's Managing Directors on regulatory & compliance matters as these businesses are FCA regulated

* Explore & be actively involved in new financial services business opportunities for the division

* Management of the finance function to ensure standards of excellence are achieved across all aspects of the finance function

* To assume complete responsibility for the compliance and regulatory performance of a commercial finance brokerage specializing in the provision of term debt facilities, short term unsecured borrowing and asset finance for owner operated business and real estate investments. Fulfil the same functions for the Insurance business

Roles, duties & responsibilities:

Finance related

* Ensure that a robust financial control environment exists at all times across all aspects of the finance function

* Responsible for the annual budget process and ongoing rolling forecasts

* Work closely with the MD and Group FD, keeping them appraised of all key issues (financial and business) which may impact on the results of the business

* Work closely with the MD providing advice, counsel and support as well as the appropriate level of challenge

* Lead on the analysis of trends and KPIs and interpret relevant output to assist in key business and commercial decision making

* Continually review systems and processes to ensure that they are not only robust but operate to highest practical levels of efficiency and effectiveness

* Ensure that the finance function adheres rigorously to all the accounting standards and guidelines laid down by group. Deliver periodic reporting to the group to the required levels of accuracy & timeliness

* Build strong, constructive and open working relationships with peers across the business and establish the personal and professional credibility to encourage peers to use you as a sounding board

* Manage relevant external relationships as appropriate

* Ownership of the annual statutory audit process and any regulatory audits

Compliance related

* Ensure financial compliance for the FCA regulated businesses

* Maintaining authorization and liaise with FCA on all regulatory matters and managing ongoing reporting requirements

* Managing annual compliance assurance reviews and implementing company-wide policy changes as needs arise

* Manage panel lender's annual compliance reviews and ad-hoc requests

* Manage the internal processes and systems to satisfy regulatory requirements and specific third-party lender requirements

* Assume responsibility for financial promotions suitability and sign-off

* Be appointed compliance officer and assume responsibility for complaint handling

* Manage and design internal training & development programs as and when needs are identified

* Review and manage of third-party introductory agreements and associated ongoing regulatory agreements

* Maintain knowledge of ongoing changes within the regulatory landscape and financial services sector, implementing changes to systems and process as and when identified.

* Assist in the recruitment of staff, with particular focus of knowledge and suitability of candidates to include fit and proper assessments

* Manage compliance induction procedures & annual reviews of all employees and the reporting of

* Review inherited systems & process to ensure adherence with all regulatory and compliance matters

The Candidate:


* Strong academic results with first time passes with a recognised accounting qualification (ACA preferred) and compliance qualification desirable


* Experience of working within a regulated/FCA environment and experience of FCA audits is desirable

* A broad finance background including all aspects of financial control and reporting to as well as financial planning and analysis

* Experience of managing and dealing within a compliance framework

* Experience of working in an organisation where finance operates to the highest standard

* Previous experience of strengthening of processes, systems and procedures

* Track record of recruiting, growing and developing staff

* Previous experience of working in a multi-national group would be ideal

* Experience of a fast-paced, ideally creative environment, and operating to tight timetables

* Experience of working in a result orientated, growth and performance driven environment

* Excellent IT skills


* Experience of within a financial services or business service environment essential

The position of Finance & Compliance Director, in Milton Keynes, is offered with a salary of GBP75,000 - GBP90,000 with hybrid working and great benefits.

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates

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