Job description: THE COMPANY:Our client is a leading global platform for private investors. We are working with them exclusively on a Head of Compliance role, this will be Bristol based (hybrid).THE RESPONSIBILITIES:
Support the CEO, CRO and Executive Committee members in establishing and maintaining a constructive and open dialogue with the FCA and any other appropriate authorities and to ensure that any regulatory reports, including Reg Data returns, or enquiries are handled appropriately and promptly.
Proactively review and update the regulatory compliance framework, including Compliance Manuals, Policies and Procedures, in response to changes internally and externally.
Oversee the first line to ensure compliance with relevant rules and regulations.
Ensure that the Executive Committee is kept fully informed of all regulatory matters including emerging regulations.
Provide guidance and advice on regulatory matters across the business. Collaborate with internal and external stakeholders to monitor enforcement of standards and regulations.
Work across the company business lines engaging with a degree of pragmatic collaboration to find compliant solutions to business problems, whilst influencing business culture.
Develop and maintain effective relationships with various stakeholders across the business.
Lead the Compliance team and manage the Compliance SLT team.
Ensure Compliance policies within the role remit (e.g., Personal Account Dealing Policy) remain up to date.
Deliver clear and comprehensive governance committee compliance reports, providing context, key risks/ issues and proposed mitigating actions, where applicable.
Oversee the submission of regulatory reports, including Reg Data returns, or technical enquiries from the FCA are handled appropriately and promptly.
Accountable for Compliance Plan delivery and ensure that the Executive Committee are kept fully informed of findings and proposed actions.
Proactively identify regulatory developments within or outside of the company as well as evolving best practices in compliance control
Work collaboratively across the Chief Risk Office functions to support an agile and dynamic approach to compliance and risk management.
EXPERIENCE REQUIRED:
Excellent level of understanding and working knowledge of FCA rules impacting wealth, asset and fund management including platforms
Excellent knowledge of legislation such as FSMA and MiFID II
Experience in asset management (ideally with exposure to retail market) preferable
A broad business understanding with attention to detail
Professional qualifications in Compliance are desirable.
Proven Head of Compliance (or similar) experience and experience of managing a team of Compliance professionals.
For further information please contact Duncan JefferyAbout this roleLocation:BristolSpecialism:Salary:£Competitive salaryType:Reference:19241
Expected salary:
Location: Bristol Area
Job date: Sun, 25 May 2025 02:38:13 GMT
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