Head of Compliance Chester

Head of Compliance – Chester Leadership Chester – North West Role and Responsibilities: Working with the firms Chief Risk & Compliance Officer/MLRO to ensure the firm remains in compliance with its regulatory obligations (including, but not limited to, SMCR, the Consumer Duty and Relevant FSMA regulated activities). Second line of defence, facilitating the building and/or monitoring/challenging the first line of defence controls within the firms risk and compliance framework. Support the delivery and effectiveness of the firms Non-Financial Risk management framework, and the Enterprise Risk management framework. Responsible for the firms whistleblowing framework, ensuring that staff are aware of the policy and that the whistle-blowers are protected and their names remain confidential. Working with the Core Management Team: Monitor and interpret regulatory change and developments to ensure the impact on the business is highlighted and assessed; Oversee any projects to implement regulatory change; Ensure that changes required to the Firms policies and procedures are pro-actively evaluated, identified and remedied; Contribute to assessments to ensure the integrity of compliance policies and controls in place; Complete internal risk assessments where appropriate; Provide reports for senior management on current, emerging and thematic risks and issues; Ensure staff familiarity with compliance procedures; Oversee a regular programme of compliance monitoring to FCA standards and ensure the company is fully compliant with current rules; Contribute to product reviews and new product creation to ensure product governance; Oversight of any financial promotions to ensure they are compliant and fair, clear and not misleading; Providing training support and advice across the business and ensure all staff meet the training and competence requirements; Input on all FCA regulatory reporting (RegData, Connect etc); Acting as point of contact with the FCA and other regulatory bodies where required and communicating effectively with them; Identification and monitoring of risks for the business and taking responsibility for managing Risk; Manage the periodic reporting to the firms Senior Management to identify compliance priorities and risks; Create and sustain a positive compliance culture within the business. Core Competencies and Knowledge: Extensive knowledge of the relevant regulatory landscape (including but not limited to FSMA, CCA and relevant provisions of FCA Handbook) Senior compliance officer level experience is essential; Capable of managing complexity; Strong communication skills – able to articulate complex matters simply; Strong diplomacy and negotiating – able to reach acceptable conclusion where there are divergent views, but stand firm where that is required; Possess great personal and professional integrity – highly credible and respected by key partners; Strong judgement – able to identify and focus on key issues and guide and advise others. Experience of managing and developing colleagues across multiple locations. Skilled communicator with experience in dealing with a range of stakeholders including executives and other senior leaders. Commercially aware with the ability to make decisions that identify and consider risks specific to the business. Apply for this Job #J-18808-Ljbffr