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Head of Compliance and Conduct Risk

Date posted: 17 Dec, 2015
Ref: Ref:ccr171215
Industry: Compliance
Salary: £75000 - £85000 + Excellent Benefits
Location: Birmingham
Contract Type: Permanent
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Further Information

My client is a Financial Services provider based in the West Midlands. Due to the continued success of the business and subsequent expansion of the Risk and Compliance division they are currently recruiting for a Head of Compliance and Conduct Risk.

Reporting to the Chief Risk Officer and supervising a small team you will be an integral part of the company's second line Risk and Compliance division.You main responsibilities will include;

  • Develop, initiate, maintain and revise policies and procedures for the general operation of the company
  • Develop and periodically review and update the compliance programme
  • Collaborate with other internal and external risk based functions
  • Respond to alleged violations of rules, regulations, policies, procedures and standards of conduct
  • Act as an independent review and evaluation body
  • Monitor, and as necessary, coordinate compliance activities of other functions
  • Identify potential areas of compliance vulnerability and risk
  • Provide reports on a regular basis, and as directed or requested
  • Ensure proper reporting of violations or potential violations
  • Institute and maintain an effective compliance communication programme for the company
  • Monitor the performance of the compliance monitoring programme

You will be a Compliance professional who can demonstrate previous experience of managing compliance activities in a regulated environment. You will have supervised teams of staff and be able to interpret and apply the regulatory and financial guidelines. My client offers a competitive salary and package and scope to progress within the Group.


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