​J2738 - Our client is seeking a Head of Compliance and Legal to oversee both functions in order to embed a strong risk awareness culture within the business. You will have an excellent working knowledge of a range of compliance issues, solutions, and laws/regulations relating to an FCA regulated financial services firms.

Salary: £50,000 - £75,000 plus bonus and benefits. Location: UK, Northants / E Mids

KEY RESPONSIBILITIES:

• Lead the Compliance & Legal team to embed a strong risk awareness and culture across the UK business.

• Manage operational events and report all identified issues to reduce risk, engaging with all relevant part of the business

• Administer and execute Compliance regime, including the institution of appropriate monitoring of the required FCA rules for commercial finance brokers.

• Review, update and train the wider team on changes in Compliance legislation.

• Review and create applicable policies and procedures.

• Ensure all risk and compliance reporting to Directors is of high quality and submitted ahead of deadlines.

• Point of contact with the FCA responsible for ensuring business compliance.

• Act as Data Protection Officer to ensure DPA and GDPR compliance.

• Act as the Anti-Bribery and Corruption Officer

• Act as the firms Nominated Officer and MLRO as required by applicable legislation.

• Monitor and ensure compliance with all applicable AML/POCA or other rules/legislation governing AML/KYC requirements.

• Monitor compliance with NACFB Business code.

PERSON SPECIFICATION:

• Appropriate experience in a comparable business (50-150 employees) managing or at a senior level in a compliance function within a financial services business.

• Excellent working knowledge of a range of compliance issues and solutions, as well as applicable laws/regulations relating to FCA regulated financial services firms, specifically B2B commercial finance brokerage.

• Qualified Solicitor preferable / previous legal experience in compliance / reg law.

• Excellent verbal and written communication skills

• Excellent interpersonal skills

We strongly favour applicants with proven relevant experience in Financial Services; particularly in Asset Finance and Leasing.

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