Head of Compliance EXCLUSIVE

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 Jeffery