*Exclusive Opportunity* Head of Compliance

  • Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Westbourne Partners
  • 26 Sep 16

The role of the Compliance Manager is to provide pro-active Compliance support and ensure the provision of quality, timely and accurate guidance on established internal guidelines and external regulations. The purpose of the role is also to ensure that we develop and maintain the highest compliance standards by following both the letter and the spirit of the relevant regulatory requirements, Standards Manual, and Compliance Officers Handbook and ongoing review of existing systems and controls within the business to ensure that they remain fit for purpose.

Your responsibilities will include: 
- Serving as a main point of contact for the Business in relation to compliance matters pertaining to established internal guidelines and external regulations, this will include Cross Border and Personal Account Dealing; 
- Reviewing and providing feedback on Complaints and Breaches; 
- Developing and delivering compliance training as appropriate; 
- Maintaining awareness of regulatory changes affecting us and assist in the assessment of the impact on relevant business activities; 
- Assisting in the development of appropriate responses and ensuring appropriate controls are in place; 
- Assist in keeping Management informed of regulatory changes; 
- Developing, monitoring and preparing Management Information. 

The ideal candidate for this role will have: 
- 5 years + Regulatory Compliance experience in Financial Services industry; 
- Experience of using relevant software packages, i.e. Microsoft Office Word, Excel and PowerPoint; 
- Relevant product knowledge including knowledge of Financial Conduct Authority (FCA) Handbook / UK Regulatory Landscape; 
- A flexible and adaptable approach to change and will support others to respond in a similar way; 
- Proven experience of motivating others to deliver exceptional performance and long terms results; 
- Both spoken and written communication skills with experience of adapting your style and approach to the audience and message to be delivered; 
- Productive contribution to team objectives, sometimes supporting and sometimes leading activities to achieve shared goals; 
- Experience of creating and deploying comprehensive business/operating plans which consistently deliver desired results; 
- Experience in promoting and leading best practice in risk and compliance management in a similar organisation. 

We operate in a highly regulated environment. The candidate will work as a risk steward to ensure that we develop and maintain the highest compliance and conduct standards.