Interim Head of Compliance (14 Month Maternity Cover)
Leading FCA regulated employer based in Bristol
Previous FCA regulated experience of design and delivery of Compliance programs
About Our Client
Our client are a leading FCA regulated organisation based in the heart of Bristol. They are flexible, dynamic and offer a great working environment. They are a specialist in the pension world, bringing together c.£30 billion of investment funds.
The key responsibilities of this Interim Head of Compliance - (14 month Maternity Cover), based in Bristol are:
Be the Senior Manager with the prescribed responsibility for the firm's performance of its obligations under the employee certification regime.
- Be the relevant compliance and risk subject matter expert within our FCA regulated firm
- Identified known and possible risks to the business and its strategies and plans
- Measure and monitor the effectiveness of internal control and risk management frameworks
- Build productive relationships between all key stakeholders including:
Financial Conduct Authority (FCA)
- Maintain responsibility for the Compliance Monitoring Programme which includes:
- Design and delivery of the programme;
- Compliance guidelines monitoring;
- Implementation, oversight and challenge of the 1st line of defence's management of risks via the Risk and Control Assessment Programme;
- Following up on remedial actions associated with risk events/breaches.
- Maintain working knowledge of relevant regulatory requirements, specifically FCA handbook obligations, that impact the business
The Successful Applicant
When applying for this Interim Head of Compliance - (14 month Maternity Cover), based in Bristol, you should have/be:
- Recent relevant experience within a Compliance and / or Risk role, within an FCA-regulated Investment Manager.
- Holds working knowledge of regulatory requirements within the UK Financial Services markets.
- Has an understanding of risk management concepts and prevention measures relevant to an Investment Manager.
- Has strong knowledge of an Investment Manager's regulatory responsibilities and obligations.
- Can be approved by the FCA to hold a Senior Manager Function, demonstrate fitness and propriety, and continue to meet such standards.
- Can educate and communicate to colleagues effectively
- Has experience of utilising and maximising the use of business applications.
- Is detail-oriented and considered a "completer-finisher", is pragmatic and works with a high degree of common sense.
- The ability to challenge effectively across all levels of the firm.
- Good communication and report writing skills.
What's on Offer
Excellent Base Salary up to £90,000
Great benefits Package