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Head of Compliance

Date posted: 20 Sep, 2019
Ref: Ref:hoc190919
Industry: Compliance
Salary: £90000-£100000 + Excellent Bens
Location: Birmingham
Contract Type: Perm
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Further Information

My client is a prestigious Financial Services provider based in Birmingham City Centre. Due to the continued success of the organisation and subsequent growth of the Compliance function, they are currently recruiting for a Head of Compliance

Reporting to the Compliance Director and supervising a small team your key responsibilities will include;

  • To work closely with Compliance Director in planning engagement strategy and activity across the business
  • Provide quality assurance oversight for Analysts when undergoing reviews
  • To develop independent leadership for areas in the business
  • Meeting schedules and formats, Internship/work experience programmes
  • Liaise with stakeholders on review findings and agreeing practical recommendations
  • To adhere to the rules and regulations affecting the business
  • To identify and investigate any current or future potential compliance risks in the business
  • To maintain knowledge of applicable legislation and best industry practice
  • Mentoring of the team, acting as a first port of call for coaching, ideas and queries
  • To assist the business as and when required on Compliance related queries, by providing advice and guidance, outlining options and recommending solutions as appropriate
  • To assist in the review and update of department procedures and drive system and process improvements
  • To lead or assist with any other regulatory tasks or ad hoc projects
  • To ensure that Management information is kept up to date and complied where necessary
  • Devise a programme alongside other Compliance Team Leaders with SMART objectives

You will be a Compliance professional with extensive Financial Services experience. Experience in Wealth Planning, MiFID II Conduct rules, PRIIPS, Payment Service Regulation and CASS Rules are essential criteria for this senior level position. My client offers an extremely competitive salary and benefits package and scope to progress within the company. 


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