Head of Compliance

Kind Consultancy
Buckinghamshire, UK
03 Sep 2019
07 Sep 2019
Contract Type
Full Time
Kind Consultancy is working with a fast-growing retail Financial Services business, who are using a technology-led approach to revolutionise the Mortgage market. As part of their current explosive growth, they are now seeking a Head of Compliance to join one of their offices in Buckinghamshire.

The Head of Compliance will ensure all aspects of the Mortgage business are fully compliant, with key responsibilities including:

* Making sure the business meets all regulatory requirements across all aspects of the business by having the appropriate Compliance policies in place, covering areas including business activity, remuneration, operations, customer communication, recruitment, training and promotions

* Ensuring appropriate monitoring, checks and MI are in place to identify and address any Compliance issues

* Acting as the primary point of contact with the FCA, making sure all reporting and communications with the FCA is completed accurately and in a timely manner

* Ensuring the firm has all of the appropriate licences, insurances and permissions to carry out its business activities

* Managing complaints through to resolution within the appropriate regulatory guidelines

* Managing and implementing the business's Financial Crime and Data Security policies

* Acting as the key point of contact for all Compliance queries and issues within the business, maintaining knowledge and understanding of upcoming regulatory and industry developments, always seeking opportunities to use these to the business's competitive advantage

* Ensuring both internal and external risks across all areas of the business are identified and mitigated through the implementation of appropriate Risk Management processes

* Developing a Compliance department with the appropriate knowledge and capabilities to meet the business needs of the organisation efficiently and in a cost-effective manner

Our ideal candidate for the Head of Compliance opportunity:

* Has extensive experience of Compliance within a retail Financial Services environment

* Has experience within the Mortgage sector, ideally including the Intermediary space

* Has in-depth knowledge of FCA compliance requirements

If you have relevant experience and are interested in the Head of Compliance opportunity, please apply with an up-to-date CV today.

If your application is successful, we aim to contact you to discuss the opportunity in more detail within 2 working days. Due to the overwhelming number of responses we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful

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