Head of Risk and Compliance
other jobs Claims Recruitment Services
Added before 10 Days
- England,East of England,Hertfordshire
- full-time
- £90,000 - £100,000 per annum
Job Description:
Head of Risk and Compliance
Hertfordshire
c£100,000 + Benefits
We are currently recruiting for a Head of Risk and Compliance on behalf of our client, a highly regarded SME fintech business based in Hertfordshire.
The key purpose of the role is to provide a practical, hands-on and delivery focused Risk and Compliance service to the shareholders, directors and employees of the company.
Key Responsibilities
*Keep the business and its leadership team safe from regulatory sanction.
*Leading and managing a small Compliance team to ensure processes, procedures and services delivered adhere to the regulations that apply to FCA regulated businesses.
*Ensuring that all relevant regulatory requirements are met, including the FCA’s Conduct Rules and Principles.
*Monitoring and briefing directors and the senior leadership team on regulatory themes and pronouncements as needed.
*Providing Compliance and AML oversight.
*Acting as the Data Protection Officer.
*Ensuring that all Director’s applications or removals to the FCA are undertaken in a timely manner.
*Chairing the Risk Committees.
*Taking ownership the Training and Competence Scheme, ensuring (in conjunction with HR) that it is suitably documented and monitored annually.
*Managing and carrying out the Compliance Monitoring Plan in order to analyse the company’s compliance with regulatory requirements.
*Creating and delivering the annual compliance review programme, ensuring reviews are undertaken in a timely manner.
*Overseeing and having input into the company’s complaints management service.
*Analysing regulatory and procedural breaches.
Key Requirements
*Minimum of 15 years experience in Financial Services, preferably in Investment and Life Protection, with at least 10 years in the Compliance sector.
*Proven experience of managing a small Compliance team, working at all levels from daily sanction checks to reporting to the Board at senior level.
*A Degree holder with appropriate qualifications in financial services.
*Have held SMF16 and SMF17 in previous roles.
Keywords: Head of Risk and Compliance; Risk and Compliance; Risk; Compliance; Fintech, FCA, Financial Services
We do not retain any personal information without your permission. Please refer to our data protection policy on our official website for more information - www.claimsrecruitment.co.uk
Hertfordshire
c£100,000 + Benefits
We are currently recruiting for a Head of Risk and Compliance on behalf of our client, a highly regarded SME fintech business based in Hertfordshire.
The key purpose of the role is to provide a practical, hands-on and delivery focused Risk and Compliance service to the shareholders, directors and employees of the company.
Key Responsibilities
*Keep the business and its leadership team safe from regulatory sanction.
*Leading and managing a small Compliance team to ensure processes, procedures and services delivered adhere to the regulations that apply to FCA regulated businesses.
*Ensuring that all relevant regulatory requirements are met, including the FCA’s Conduct Rules and Principles.
*Monitoring and briefing directors and the senior leadership team on regulatory themes and pronouncements as needed.
*Providing Compliance and AML oversight.
*Acting as the Data Protection Officer.
*Ensuring that all Director’s applications or removals to the FCA are undertaken in a timely manner.
*Chairing the Risk Committees.
*Taking ownership the Training and Competence Scheme, ensuring (in conjunction with HR) that it is suitably documented and monitored annually.
*Managing and carrying out the Compliance Monitoring Plan in order to analyse the company’s compliance with regulatory requirements.
*Creating and delivering the annual compliance review programme, ensuring reviews are undertaken in a timely manner.
*Overseeing and having input into the company’s complaints management service.
*Analysing regulatory and procedural breaches.
Key Requirements
*Minimum of 15 years experience in Financial Services, preferably in Investment and Life Protection, with at least 10 years in the Compliance sector.
*Proven experience of managing a small Compliance team, working at all levels from daily sanction checks to reporting to the Board at senior level.
*A Degree holder with appropriate qualifications in financial services.
*Have held SMF16 and SMF17 in previous roles.
Keywords: Head of Risk and Compliance; Risk and Compliance; Risk; Compliance; Fintech, FCA, Financial Services
We do not retain any personal information without your permission. Please refer to our data protection policy on our official website for more information - www.claimsrecruitment.co.uk
Job number 1800356
metapel
Company Details:
Claims Recruitment Services
Company size: 5–9 employees
Industry: General Insurance
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