J2738 - Head of Compliance and Legal -UK, Northants / E Mids - Asset Finance

Job title: J2738 - Head of Compliance and Legal -UK, Northants / E Mids - Asset Finance
Contract type: Permanent
Function: Legal / Compliance
Salary: £50,000 - £75,000 plus bonus and benefits
Reference: J2738
Contact phone: +442037407222
Job Published: March 10, 2021

Job description

​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.

Expired job

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Katherine Amin

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