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
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.
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.