HEAD OF COMPLIANCE - LARGE INTERNATIONAL FIRM (BANKING OR INSURANCE/PENSIONS) SMF 16 COMPLIANCE & STAFF MGT EXPERIENCE REQUIRED
£160K - £200K+ bonus and bens LONDON (Hybrid)
REF:4180D3
Our client, a leading international group, is seeking an experienced Head of Compliance to hold SMF 16 and manage a large department. Reporting into the CEO, responsibilities will include;
- 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 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 escalate 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 Pensions & Retail Investments, 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 60%, mainly in the central London office though will be some visits to other UK or international offices.
So, if that sounds like you, then please send your details to our MD, David Symes FCA, at David@compliancerecruitment.com (including a contact no) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.