£150K - £180K + bonus and bens LONDON (Hybrid)
REF:4180D2
- Advise the Board on regulatory risk management and compliance activities and attending relevant committees & main Board meetings.
- Manage a team of 5 senior direct reports, each with their own teams of UK and overseas based compliance staff.
- Lead all compliance interactions with the FCA, including thematic requests, supervisory dialogues, and regulatory submissions.
- Responsible for the firm’s regulatory reporting programme and ensuring timely / accurate submissions.
- Identify, assess, and escalation conduct and regulatory risks, providing strong challenge and clear recommendations to senior leadership and the Board.
- Oversee Risk assessments and work collaboratively with the second line Risk Function
- Oversee the ongoing development and implementation of the organisation’s compliance framework, ensuring policies and procedures are robustly designed, documented, monitored, and regularly reviewed and remain current with changing statutory requirements.
- Provide advisory support to senior management on regulatory obligations, complex compliance matters, emerging risks, and evolving regulatory expectations to ensure informed decision-making across the organisation
- Working closely with business units to embed robust frameworks
- Provide expert guidance on regulatory change affecting the firm.
- Support operations and other teams with timely and pragmatic regulatory advice
- Remain up to date with regulatory and legislative changes and ensure that the impact of such is reflected in the business’ policies and procedures
- Promote a strong culture of compliance and conduct across the firm.
- Contribute expertise at trade associations or other industry events.
You must have held SMF 16 and have worked in a senior Compliance role for a large corporate firm, used to matrix reporting and overseeing mid sized or large teams, most probably from Banking or Insurance & Pensions (and if from Banking, be willing to pick up the nuances around Insurance & Pensions, supported by an experienced team). You should have both the energy to handle a responsible role in a rapidly growing group and the gravitas to influence the Board and be prepared to hold SMF 17 although fully backed by an experienced Financial Crime team.
Role is hybrid 50%, mainly in the central London office though will be some visits to other UK or international offices.
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