Job Description

To assist the Board in ensuring the business continues to meet its regulatory obligations. You must be a trusted business partner with the capacity to get things done through collaboration, effective communication and persuasion.

You will lead the Compliance team in delivering high-quality compliance advice, oversight and challenge to the business, as well as performing the Compliance Oversight and Money Laundering Reporting functions.

• Lead the Compliance Team in delivering and maintaining a programme of monitoring that reviews operational business activity to assess that regulatory requirements are being complied with.
• Deliver, maintain and oversee the firm's risk management framework.
• Carry out the role of MLRO, responsible for oversight of the firm's compliance with the FCA's rules on systems and controls against money laundering.
• Provide advice and assistance to the Board and staff to help them meet their regulatory responsibilities
• Provide analysis and early warning of regulatory change which may impact the business.
• Ensure there is Compliance input and support for business led projects and Compliance led projects are delivered to plan.
• Ensure customer communications, including financial promotions, are reviewed and approved in line with FCA rules and guidance.
• Ensure the firm's compliance policies and procedures are kept up to date; that they are appropriate, proportionate and understood by the business, driving the right compliant behaviors.
• Ensure the firm's regulatory permissions for its activities are accurate and up to date.
• Oversee the completion and submission of the firm's regulatory returns.
• Ensure the Compliance team promote a strong compliant culture within the business, through training and general awareness activities.
• Oversee compliance with the firm's Training & Competence Scheme
• Provide independent reporting to the Board, Committees and senior management as appropriate, on where the firm currently sits with their regulatory compliance.
• Help raise awareness of the regulations and industry standards which apply to the firm and its business model

Required Knowledge, Skills, and Abilities

• Able to lead and manage staff
• Able to priorities and manage competing & changing team priorities
• Able to priorities own work to strict deadlines
• Attention to detail
• Able to problem solve and deal with complex queries
• Strong written and verbal communication skills
• Good stakeholder management, at all levels
• Able to persuade and influence
• Good numeric skills
• At least 5 year's FCA regulated compliance experience, including managing a team.
• Experience working in a MiFID Investment Firm / Fund Manager / Wealth Manager