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Head of Compliance

Employer
Confidential
Location
Cheshire
Salary
Competitive
Closing date
19 May 2021

View more

Employer Sector
Accountancy Practice
Contract Type
Permanent
Hours
Full Time
Travel
None
Job Type
Compliance
Key Responsibilities

* Providing compliance leadership and guidance to the compliance department and Together colleagues.

* Act as regulatory compliance oversight

* Ensuring regulatory updates are issued in timely manner and where required based on changes in regulations

* Identify situations that may pose significant compliance risk and ensure Compliance Department guides management in the development/reviewing of applicable policies, procedures and business practices

* Be the first point of contact for the Regulator, maintaining an open and positive working relationship with them and ensure high quality in any correspondence.

* Responsible for specific regulatory areas and processes and being the Together centre of excellence in those areas

* Designing, implementing, and monitoring the independent Compliance Monitoring and Testing Programme

* Periodically revising the annual Compliance Monitoring and Testing Programme

* Independent review of the business assessment of the compliance and conduct risks and thus contributing to the Executive's overall risk assessment

* Ensuring new, and changes to existing, regulations are identified and for working with the business to ensure these are adopted and embedded fully and in a timely manner

* Ensuring accurately and timely delivery of regulatory compliance MI and governance reporting to the Executive, Senior Management Team and associated Governance Committees.

* Representing the Compliance Department on governance and risk forums and committees

* Maintaining relationships with the regulators and working collaboratively with first line in dealing with regulatory inquiries or issues

* Provide advice and support to the firm in determining its senior individuals who are performing roles requiring individual approval under SM&CR

* Providing advice and support to colleagues on regulatory requirements

* Responsible for ensuring regulatory breach assessment are conducted to determine whether an incident has breached applicable regulatory and conduct requirements including oversight of the firms action plans to close breaches

* On a regular basis, performing monitoring and control assessments to ensure the appropriateness and effectiveness of procedures and controls to minimise the risk for non-compliance with external regulations

* Verifying that new, or materially altered, products, services, markets, processes, IT systems and major changes in operations and organisation comply with all requirements

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