J Posted byRecruiter
Head of pliance (BGI)
Application deadline 12:00 on 27th June
Britannia Global Investments, one of the panies in the Britannia Financial Group, is looking for a Head of pliance. The candidate will be based full time in our head office in the City of London (EC3) and will be reporting to the Chief Executive Officer.
The Head of pliance will be tasked with supporting the senior management to ensure an effective control and pliance with all regulatory aspects relating to Britannia’s business. The candidate will be expected to, in due course, hold both SMF 16.
The main duties and responsibilities of the position include, but are not limited to, the following:
1. Establish and maintain a constructive and open dialogue with the FCA and any other appropriate authorities and to ensure that any regulatory reports, including RegData returns, or enquiries are handled appropriately and promptly.
2. Review and update the regulatory pliance framework, including the pany’s Manuals, Policies and Procedures, in response to changes internally and externally.
3. Prepare the appropriate reports for the Board demonstrating the effectiveness of the regulatory pliance framework.
4. Ensure that the General Counsel and the senior management are kept fully informed of all regulatory matters and also that any such developments are included within the pliance and risk framework.
5. Provide guidance and advice on regulatory matters across the business.
6. Oversee the review and development of existing products and services.
7. Work across the pany business lines engaging with a degree of pragmatic collaboration to find pliant solutions to business problems.
8. Develop and maintain effective relationships with various stakeholders across the business.
9. Manage the pliance team and provide oversight and support to the Back Office team
Experience/Skills required
10. 10+ years’ similar experience gained within Financial Services, within wholesale brokerage and with particular experience of various of the pany’s products.
11. Excellent understanding of FCA Regulation, particularly COBS and CASS, and associated legislation, such as FSMA and MiFID II.
12. Thorough knowledge of UK and European FS regulation.
13. Previous holder of CF10 and/or SMF 16.
14. Extensive experience of dealing with regulators and other external bodies.