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Head of Compliance


Head of Compliance


A point of sale finance provider operating in the consumer finance sector. Due to growth and expansion of the business a designated Head of Compliance required to move forward with the business on its continued positive trajectory.

Reporting into the Managing Director, you will be responsible for the development and implementation of strategy, the management and leadership of compliance and internal control arrangements across the organisation.
Key Accountabilities
* Senior Management briefings on the impact of regulatory developments
* Interpret and respond to new regulatory proposals and emerging regulatory risks
* Provide leadership and direction to all departments on implementation and embedding of relevant compliance policy and standards
* Represent on industry or regulatory forums to discuss developments and gain insight to inform of the company's activity
* Oversee the communication and advice guidelines produced, in support of all customer facing roles
* Develop advice strategies, standards and guidelines to ensure new products compliance
* Continuous regulatory benchmarking to ensure of advice policies and processes are compliant yet not restricting to marketplace competitiveness
* Develop and agree 'quality standards' for all departments and delivery channels
* Ensure fair treatment of customers is defined and embedded in to all activities of the business
* Ownership and leadership on building strategic relationships with relevant regulatory bodies and key external stakeholders
* Manage the FCA relationship team for all compliance issues
* Compliance lead and key contact on third party supply contracts
* Overall responsibility for the development of effective relationships through personal interaction and written communication with all relevant internal stakeholders, including Senior Management and the Board.
* Instigate projects or initiatives which close regulatory gaps and manage actions to address issues in line with dates agreed with FCA
* Ensure that the business develops and analyses effective management information and key risk indicators
* Create and manage the Compliance Review Dashboard
* Create and manage the Compliance Monitoring Plan
* Implement the Senior Management Regime

In order to succeed in this role you should have significant risk and compliance experience within the regulated financial services sector and well versed in the area of financial services operations. Of particular interest are individuals from within the consumer finance industry. Key expertise is required in production of technical and policy output, providing solutions to regulatory issues, effective management of stakeholders up to Board Level along with sound understanding of risk controls, processes, measures and related MI provision. You will also need to be a strong advocate of and have an appreciation of legal, regulatory and compliance issues relating to the use of customer data and be familiar with the principles captured within 'treating customers fairly' and conduct risk. The position will require international as well as domestic travel from time to time and those with professional compliance/ risk qualifications would be viewed as highly desirable

The business is a successful global brand that continues to gain market share. Joining the organisation at this stage will give you the opportunity to have key influence in how the compliance function develops at the business and become a highly respected and valued individual providing further professional development to further your own career prospects.

Please quote CGL1701-167 when calling Alexander Lloyd on 01293 572900 and ask for our Compliance division. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.

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