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Head of Compliance, Policy and Guidance

Eingestellt von Stanton House

Gesuchte Skills: Support, Design


Our client, a leading Wealth Management organisation requires a highly experienced Head of Compliance, Policy and Guidance to lead and direct the team being responsible for providing expert Compliance guidance and advice and to support the Head of Compliance in relation to regulatory engagement and reporting. As required to deputise for the Head of Compliance.

Will be responsible for the following activities:

- To proactively and reactively provide Compliance guidance and advice to the business functions, and ensure that the policy and guidance team respond to queries in a timely manner
- Own and maintain the Compliance policies for the firm ensuring these remain aligned to regulatory requirements
- Production of Compliance reports for Board committees and their sub committees.
- Support the Head of Compliance in relation to regulatory engagement with FCA and JFSC as required.
- Liaise and assist as required with other Risk Functions and Group Internal Audit in all matters pertaining to Policy & Guidance.
- Provide technical compliance guidance to business change programmes including attending Steering Committees and Working Groups, providing compliance requirements are sign off for solution design and implementation plans
- With the upstream risk manager in compliance, ensure that regulatory change is understood and the impacts to the business are planned and managed through to conclusion.
- Support the Policy and Guidance team to ensure that they maintain and develop their knowledge and expertise in specific areas of regulatory matters
- Undertake any other ad hoc duties as requested by the Head of Regulation and Risk and/or Head of Compliance as required.

To apply you will require the following attributes:

- Educated to degree level of equivalent
- Appropriate qualification in the area of Compliance desirable, eg Regulation & Compliance module of Securities Institute Diploma, The CISI Regulation and Compliance Diploma or equivalent
- Deep knowledge of FCA and JFSC regulations, associated legislation and processes
- Strong technical knowledge of products and services used in investment management and financial planning.
- Committed to continuous change, with the ability to lead change activities, at the same time as managing a team, whether internal or externally driven change.
- An enthusiastic leader with a 'can do' attitude.
- Communicates complex issues clearly and credibly across varied audiences
- Uses various communication methods appropriately to suit message. Delivers difficult/unpopular messages with clarity and tact
- Influences others through clear persuasive briefs. Able to use a range of interpersonal skills to persuade and gain commitment. Knows when to compromise and when to stand firm. Separates the issue from the person
- Demonstrates flexibility while being focused on the issue and modifies position to achieve win/win solutions. Understands the importance of questioning and listening skills in influencing others
- Excellent interpersonal and communications skills, literacy, presentation and report writing skills.

To find out more information or to be considered for this opportunity, applications will only be considered in the first instance by email. Please send your CV. The selection process will incorporate a formal interview, an assessment of the applicant's competencies, as well as obtaining written references from previous clients/employers.


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Stanton House

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