Head of Compliance

Recruiter
Gleeson Recruitment Group
Location
Birmingham
Salary
£90,000 per annum
Posted
12 Aug 2017
Closes
13 Sep 2017
Contract Type
Full Time

Our client is an entrepreneurial financial services organisation based in the Midlands which is currently experiencing a period of rapid growth and has recently received significant investment to facilitate additional development. Consequently we have been retained to recruit a Head of Compliance to hold the CF10 and CF11 function.

In this home-based or office-based role the Head of Compliance role will act as the key point of contact for AML and all compliance issues including responsibility for the following:

  • The provision of all regulatory advice and guidance to the business, leading and supporting regular visits to the FCA.
  • The creation and process of submitting Regulatory Returns.
  • The overall control functions in the business.
  • Developing and managing the business's internal compliance monitoring program.
  • Conducting independent reviews to evaluate control weaknesses identified in compliance activities.
  • Establishing and maintaining AML policies and procedures.
  • Delivering effective reporting to the board and provision of compliance & internal control training to staff.
  • Assessment of the impact of future regulation on the business and working with teams to implement changes.
  • Review and implementation of compliance programs.

Our client is keen to attract an experienced Compliance professional capable of taking on the CF10 and CF11 function with previous experience in a Wealth Management/Asset Management or IFA environment.

Knowledge of MiFID, FATCA and CRS is also crucial. Gravitas, credibility, an analytical mind and problem-solving skills are essential to success in this role.

This is an outstanding opportunity to join a fantastic business during an exciting time of development and growth. A home-based contract is feasible and significant flexibility is also an option.

Please apply for immediate consideration or call Liz Gilliver on .