Core-Asset Consulting Ltd
This listing was posted on Careers4a.
Head of Compliance
Description:
Job Description:Our client, a successful financial services company, has a great opportunity available for an experienced compliance professional to join their team as Head of Compliance on a permanent basis.In this broad role you will be responsible for the operational and reporting capacity in all compliance, regulatory, governance and risk matters, ensuring that the company meets its obligations and customers receive good outcomes.Job Description:Our client, a successful financial services company, has a great opportunity available for an experienced compliance professional to join their team as Head of Compliance on a permanent basis.In this broad role you will be responsible for the operational and reporting capacity in all compliance, regulatory, governance and risk matters, ensuring that the company meets its obligations and customers receive good outcomes. Essential Skills/Experience: Strong compliance experience from wealth management or financial services.Strong stakeholder management skills and experience.Compliance monitoring experienceRegulatory reporting and regulatory compliance experienceStrong communication skills Core Responsibilities: Implementing/reviewing/updating compliance policies, procedures/financial crime procedures.Preparation of the annual Compliance report for the firm’s senior management.Preparation of the annual Consumer Duty Governing Body report for the firm’s senior management.Be proactive in engaging in FCA news, publications, direct correspondence, thematic reviews and ensure relevant information is communicated to the management team/Board/personnel.Preparation of Compliance report for quarterly board meeting.Preparation of Compliance report for monthly management meeting.Prepare evidence/data for external audits as required.Carry out the due diligence process for professional introducers/new suppliers/advice & research tools/third party providers as required – creating and maintaining appropriate records and up-dating due diligence checks at least annually to ensure compliance with required standards.Review content for accuracy and ensuring content covers key reporting issues.Check for up-dates and notifications from regulatory bodies FCA, FOS etc as well as Compliance Consultants.Maintain up to date Compliance Monitoring Programme monitoring records e.g. Financial Crime, incidents, breaches, complaints etc and report any significant movements in risk.Lead in projects to continually improve quality of MI gathered by firm.Maintain accurate and up to date Incident & Breach records.Identify material breaches or significant risks.Accurate and timely reporting of FCA periodic reporting ensuring adequate supporting records are held so as to maintain a clear audit trail.Ensure the regulatory reporting requirements are met and all returns are submitted to the FCA by their due datePlan and manage the allocation of any work required for an FCA thematic review. Benefits: A highly competitive salaryWider Benefits package Core-Asset Consulting is an equal opportunities recruiter and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.Job reference: 15723To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.At Core-Asset, we’re committed to protecting and respecting your privacy. Our privacy statement explains when and why we collect personal information about people who engage with our services, how we use it, the conditions under which we may disclose it to others, and how we keep it secure. We may change this policy from time to time, so please check this policy occasionally to ensure that you’re happy with any changes.By engaging with us either by applying for a job we’re advertising, registering through our website, or getting in touch with our business you’re agreeing to be bound by this policy.Core-Asset Consulting is committed to protecting the privacy of our candidates, clients and website users. For further information, please refer to our full Privacy Statement available on our website http://www.core-asset.co.uk/about-core-asset/privacy-statement Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland. INDPERM
Company:
Core-Asset Consulting
Posted:
June 17 on Careers4a
Visit Our Partner Website
This listing was posted on another website. Click here to open: Go to Careers4a
Important Safety Tips
- Always meet the employer in person.
- Avoid sharing sensitive personal and financial information.
- Avoid employment offers that require a deposit or investment.
To learn more, visit the Safety Center or click here to report this listing.
More About this Listing: Head of Compliance
Head of Compliance is a Executive Compliance Officer Job at Core-Asset Consulting located in United Kingdom. Find other listings like Head of Compliance by searching Oodle for Executive Compliance Officer Jobs.
Head of Compliance is a Executive Compliance Officer Job at Core-Asset Consulting located in United Kingdom. Find other listings like Head of Compliance by searching Oodle for Executive Compliance Officer Jobs.