Head of Risk and Compliance - Claims Recruitment Services : Job Details

Head of Risk and Compliance

Hertfordshire

Up to £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

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