Job details
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| Head of Compliance | |
|
£75,000- £80,000 DOEXEC85 permanent position |
My client is looking for a Head of Compliance based out of London or Manchester. They are a Finance institution which provides banking, investment management, pensions and advisory services. The successful candidate will most likely be a graduate with relevant experience in the financial services industry gained in a Compliance Department or similar control function. You will also have a good knowledge of Investment Management and Banking products so a similar background will be highly advantageous. In addition as the role requires a high level of regulatory experience, an ex lawyer or solid regulatory background would also be beneficial. The role has responsibility for all Compliance aspects of the business which includes teams in the North and South so travel between these two places will be part of the role. The Head of Compliance will be required to take responsibility for all day to day aspects of: Compliance with the relevant legislation and regulation Leading the Compliance team in the handling of compliance issues across the business To lead the team in ensuring that the company meets its statutory obligations and internal requirements in respect of compliance and money laundering prevention. To identify resource and manage the Compliance function to ensure the effective day-to-day management and operation through a risk-based compliance monitoring programme to ensure adherence to relevant statutory and regulatory requirements. To provide reports in this respect giving assurance the business is meeting its Statutory and Regulatory objectives. To be responsible for the development of appropriate reports / documentation / policies and procedures to take account of regulatory / legislative / industry requirements including planning for future Government and FSA initiatives. To support the registered Money Laundering Reporting Officer by receiving and investigating reports of suspicious transactions / circumstances and prepare reports for internal management and external authorities as appropriate. |
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