Head of Compliance

Newport (Casnewydd)
15 Feb 2019
13 Mar 2019
Contract Type
Full Time

Our client, a leading provider of a range of financial services solutions, is seeking to hire a Head of Compliance to join the business.

Reporting to the Chief Executive Officer, the Head of Compliance will work closely with the Managing Directors of the business and ensure that the business remains compliant through the provision of advice and guidance on all regulatory matters whilst maintaining the company's values and culture.

The responsibilities will include;

  • Providing regulatory advice and guidance and working with the Senior Management Team to identify and agree changes to policies and procedures to ensure adherence to FCA (Financial Conduct Authority) requirements
  • Supporting the Quality Assurance Manager in the development of the Quality Assurance team including supporting effective performance management
  • Recommendation of changes to processes and procedures that will mitigate regulatory risk
  • Reviewing and approval of advertising and financial promotions
  • Compliance monitoring and internal audit reviews to determine the effectiveness of key controls.

The successful applicant will demonstrate;

  • Excellent knowledge of key regulatory bodies including FCA, FOS (Financial Ombudsman Service), ICO (Information Commissioner's Office) and ASA (Advertising Standards Authority)
  • Previous leadership experience within a compliance management function
  • Excellent communication skills both written and verbal

If you wish to learn more about this Head of Compliance position and you demonstrate the required skills and experience then please apply now.

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