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Chief Compliance Officer

Date posted: 05 Apr, 2016
Ref: Ref:cco050416
Industry: Compliance
Salary: To 100K + Bens
Location: Birmingham
Contract Type: Permanent
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Further Information

My client is an established and successful Financial Services provider based in the West Midlands. Due to the continued growth of the organisation and a subsequent restructure within senior management they are currently recruiting for a Chief Compliance Officer

This is a Board Member position reporting into the CEO. You will hold CF1 and CF10 and be responsible for all aspects of Compliance, AML and Risk Management within the business with a team of 5 direct reports.

Main responsibilities include;

  • Design and embed a compliance and compliance monitoring framework
  • To lead, define, implement and communicate a robust, customer focused compliance monitoring plan
  • To oversee the operation of business AML systems and control
  • To ensure that the regulatory reporting is compliant, timely, appropriate and accurate
  • To develop and continuously review the organisation’s documentation, controls, policies and procedures relating to compliance
  • To identify and develop compliance MI in order to enhance and have the ability to highlight key risks
  • To lead, define, implement and communicate a robust process for testing awareness of senior management of the conduct risks
  • Delivery of the risk management framework
  • To have oversight of business change programmes brought about by regulatory initiatives
  • To work closely with the executive team
  • To provide leadership, motivation, development, performance management and control
  • To ensure that the area within the control of the post holder remains within budget

You will be a Compliance professional with significant experience in a Senior Compliance role within an FCA Regulated environment. You will have expert knowledge of the regulatory regime and requirements and guidance issued by the regulatory bodies. My client offers a competitive base salary accompanied by an excellent benefits package.


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