UK Head of Compliance - Exclusive Assignment

  • Highly Competitive, bonus & exc benefits
  • London, England, United Kingdom
  • Permanent, Full time
  • Charles Levick
  • 26 Sep 16

Our client are looking to secure an experienced and high calibre individual to head up the UK Compliance function and team as part of their truly global organisation. The successful candidate will hold the CF10 and CF11 functions. Ideally a buy side background with exposure to emerging markets. ExCo and Board Member.

Our client are looking to secure an experienced and high calibre individual to head up the UK Compliance function and team as part of their global organisation. The successful candidate will hold the CF10 and CF11 functions. Ideally a buy side background with exposure to emerging markets. ExCo and Board Member. The opportunity will involve re-shaping and building team, currently c7people.

Internal control and supervision aspects:
• Support and advise internal senior stakeholders on the implementation and supervision of regulatory issues
• Maintain the awareness internally in respect of compliance and new regulatory updates and developments
• Ensure ongoing regulatory relationship management on behalf of the global business with the FCA
• Manage Compliance team and provide support in achieving the department’s objectives
• Maintain awareness and understanding of UK regulations, including the FCA Handbook and their implications upon business activities
• Provide input to the development and implementation of a Compliance strategy which meets all regulatory requirements and promotes a compliance culture across the business
• Review policies, procedures, manuals, letters, developments, training providing Compliance input and approval
• Manage and oversee the response to requests for advice from business units, support departments regarding compliance related matters
• Review new issues on the issues register allocating Compliance categories
• Is a member and / or attends committees providing reports and Compliance input, industry bodies, seminars

Personal skills:
• Ability to creates a climate in which people want to do their best by providing appropriate challenge, support and direction
• Seeks opportunities for collaborating and sharing best practice to maximise commercial potential
• Contributes positively through clear communication personal impact and behavioural flexibility
• Is able to create a positive climate and influence others to get things done
• Solutions orientated
• Flexible and efficient team player
• Managerial experience

Experience and Background:
• Several years of experience in implementing Compliance, UK and FCA specific
• Excellent understanding and appreciation of the wealth management / asset management / Retail Banking / international banking / private investor markets
• Deep knowledge of financial markets and current affairs