Head of Compliance Operations

London, South East England
17 Jul 2017
16 Aug 2017
Contract Type
Full Time

Our Client

Our client is a globally renowned Financial Service business and due to exciting new changes within their group function, they are looking to recruit a Head of Compliance Operations.

The Role

The successful candidate will be required to:

  • Assess and develop the compliance arrangements across the Group and provide assurance to the Group Board and Group Audit Committee that adequate systems and controls exist to deliver compliance with all applicable legislation and regulations.
  • Framework / Group Compliance Monitoring / Quality Assurance programme- designing and implementing a risk based Group Compliance monitoring / Quality Assurance process to enhance provision of assurance of Group Compliance policy standards to the Board /Board Committees / Executive Management
  • Oversee the delivery of the annual AML and Sanctions risk assessment
  • Lead on the Approved Persons process for the group and other business unites as required
  • Act as the main point of contact for the operational risk team within head office - support the scenario planning process as well as quarterly risk assessments.
  • To develop and maintain a suite of key performance / risk indicators, which are implemented group-wide and enable the monitoring of Business Unit compliance arrangements.
  • To assist in managing an open and productive relationship at Group level with the Regulator.
  • To assist in the product and delivery of compliance - related training.
  • Coordinate annual Global Compliance Conference
  • Build and maintain network of stakeholders across the business in order to facilitate effective reporting and escalation.
  • Maintain engagement with Head of Regulatory Affairs on key PRA/FCA issues

Key Requirements

  • Strong ability to identify, build and manage relationships across a range of seniorities and externally.
  • Project Management skills
  • Ability to analyse and collate a wide range of information, including technical data, and to provide concise written analysis.
  • Clear communication skills
  • People management skills.
  • Familiarity with the regulatory environment
  • Broad knowledge of insurance industry
  • Confident and articulate, with excellent written and verbal communications skills.
  • Good attention to detail and sound planning, prioritisation, problem solving and organisational skills.