Head of Compliance - Birmingham, United Kingdom - Market Talent Ltd

Market Talent Ltd

Verified Company

Birmingham, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Provide compliance leadership and guidance as independent second line regulatory and conduct advice, oversight and assurance SME for the firm.

Ensure regulatory updates are issued in a timely manner and where required based on changes in regulations
Identify situations that may pose significant compliance and conduct risks and ensure the compliance department guides management in the development/reviewing of applicable policies, marketing materials, procedures and business practices etc
Provide oversight and advice on the firm's front office training and competency framework and undertake competency checks
Undertake day to day compliance tasks: maintain compliance policies, procedures, reporting, liaising with external authorities, prepare and conduct ongoing compliance reviews as per the approved annual compliance review plan and complaints handling oversight
Provide advice and support to the firm in determining its senior individuals who are performing roles requiring individual approval under SM&CR
Provide compliance sign off on customer documentation, marketing and financial promotions etc
Oversee KYC/CDD and AML/CTF checks conducted by both outsourced and internal staff together
Uphold Money Laundering Reporting Officer (SMF17) responsibilities, including submission of an annual MLRO Report to the board. Ensuring staff awareness of money laundering rules through appropriate training and ensuring that AML processes are in place and are implemented
Receiving, investigating and reporting on Suspicious Activity Reports
Provide regulatory training to relevant staff on regulatory and legislative requirements and the maintenance of training records
Working closely with founders on ad hoc projects.

Experience

Knowledge of the bank and nonbank lending and specialist mortgage/lending markets, infrastructure and applicable standards and regulations
In depth technical knowledge and practical experience of FCA requirements and standards especially MCOB, Mortgage Advisor frameworks
Commercial, business focused with strong judgement and integrity.

Benefits

Discretionary Bonus
6%8% pension
28 days holiday + UK bank holidays on top 36 days
Life insurance
Health insurance
Work office flexibility requiring you in the office twice a month (based in the Birmingham area)

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Job Types:
Full-time, Permanent

Salary:
Up to £130,000.00 per year

Benefits: