Group Compliance Director
Location: Leicester / Nationwide
Salary: Competitive, plus excellent benefits package
About the Company:
We are looking for an entrepreneurial minded compliance expert to join an industry leading and award winning financial advisory and employee benefits firm.
With a network of offices spanning the UK, this successful firm are experts in delivering specialist advice to the local market with the reassurance and support of a national operation.
This is a fantastic opportunity for an experienced leader with a track record of driving the introduction of compliance frameworks and approaches to join a successful wealth business, acting as the SMF16 and SMF 17 functions for the firm.
Group Compliance Director Responsibilities:
Overseeing and developing the Group compliance strategy to meet the current and future regulatory and strategic needs of the organisation
Ensuring that the Group has a fit-for-purpose set of compliance arrangements which are clearly documented in policies and guidance documents, and that these are well communicated, rolled out, trained in and embedded across the Group
Providing oversight for compliance within the Group in relation to regulatory requirements and obligations and promoting the highest standards of compliance and corporate governance
To keep under review all legislative, regulatory and governance developments that affect the Group
Management of all aspects of the Group's interactions with the FCA and any other regulatory bodies as and when necessary
Building and maintaining effective working relationships with the Regulators, including working with the Group to ensure that the company provides a thorough, accurate and timely response to any regulator requests
Leading and directing the technical compliance advice across the Group ensuring the quality and timeliness of advice and guidance provided
Development, testing and ongoing monitoring of appropriate systems and controls to enable the business to comply with FCA rules.
A visible role model and driver of TCF & RCR across the business, promoting the appropriate cultures and behaviours in support of fair customer treatment, whilst ensuring the business recognises and manages its Retail Conduct Risks.
Group Compliance Director Requirements:
This role isn't about just knowing and enforcing the regulations. You'll be influential in developing and implementing a robust compliance strategy within the business to ensure the highest standards in compliance and governance. To be considered a suitable applicant, you'll need to possess:
Ability to analyse complex and evolving positions and ability to express concepts in a clear and concise manner
Ability to interpret detailed information from a number of sources and draw together the overall "big picture".
A strong delivery focus and track record of delivery.
High level presentation, negotiation & influencing skills.
Well-developed interpersonal and all forms of communications skills.
Ability to provide robust challenge in a constructive manner to senior management.
Presence and credibility at a senior management level.
Strong internal and external relationship management skills.
Strategic perspective and thinking at a corporate / business level.
Excellent personal organisation and time management.
Degree level qualification
Diploma in Financial Planning (or equivalent)
Diploma in Compliance (or equivalent) ICA
Group Compliance Director Benefits:
The successful candidate will be rewarded with a generous reward and benefits package including:
Flexibility in location (there will be a requirement to travel to Leicester and other offices on a regular basis)
Company pension scheme
Generous annual holiday allowance
Health Care Scheme
Life Cover policy
If you think that you are suitable for this Group Compliance Director role, please apply now