Job Description
We are delighted to be partnering with a long standing key client, with the appointment of a Chief Compliance Officer (SMF16 role holder).
About the Role
The Chief Compliance Officer is responsible for assuring the business (and its associated companies) comply with all relevant regulatory and conduct requirements. The role protects the interests of business and its customers by providing guidance, corporate governance and advice on FCA (and PRA where relevant) compliance to the CEO, Board, Executive Committee and employees, especially in respect of Consumer Duty. To head the compliance team, assisting in the determination of the strategic development and general management of the company.
Responsibilities
1. Fulfil the responsibilities of a Senior Manager Function (SMF) under the Senior Managers and Certification Regime (SM&CR), in accordance with the associated Statement(s) of Responsibilities (SOR).
2. Comply with the company’s SM&CR requirements, including timely completion of mandatory training, adherence to all company policies and procedures and participation in the annual attestation process.
3. Adhere to the SM&CR framework, including FCA/PRA Conduct Rules and Senior Manager Conduct Rules.
4. Embed Consumer Duty requirements and respons...