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- Effectively communicating and building relationships with the regulator, trustee and custodian;
- Providing advice to the firm regarding the conformity of its business activities in relation to regulatory requirements and best practice;
- Establishing, implementing and maintaining policies and procedures sufficient to support the firm's compliance with its regulatory obligations
- The ongoing assessment and reporting of the adequacy and effectiveness of the controls in place to comply with regulatory obligations, and to address any identified deficiencies;
- Identifying, assessing and presenting on regulatory change to the Executive Committee and the Board;
- Investigating, managing and conducting root cause analysis on complaints;
- Maintaining a record of and monitoring breaches, errors and incidents;
- Reporting material and emerging regulatory risks or issues to the Board;
- Providing management information on compliance related matters to the Board, including an annual report on conflicts of interest and product governance;
- Actively seeking sufficient resources to discharge the firm's responsibilities under the regulatory system;
- Regularly reporting to the regulator using the systems and formats provided, including in relation to the Conduct Rules; and
- Providing compliance related training, including in relation to the Conduct Rules; and
- Ensuring the firm and its Directors have access to and receive professional compliance advice when required.
- Senior level Compliance experience within a Wealth/Investment business
- Previously holding SMF16 would be beneficial
- Direct experience liaising with the FCA
Head of Compliance - Birmingham, United Kingdom - Clayton Davies
Description
We are working exclusively with a successful Investment Management firm who are looking for a Head of Compliance (SMF16/17) to report directly into the board. The role holder will be responsible for the independent oversight and management of the Compliance function across the business.
Key Responsibilities:
Experience Required: