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Head of Compliance **EXCLUSIVE**, bradley stoke
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Client:
Compliance Professionals
Location:
bradley stoke, United Kingdom
Job Category:
Other
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EU work permit required:
Yes
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Job Views:
3
Posted:
31.05.2025
Expiry Date:
15.07.2025
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Job Description:
THE COMPANY:
Our client is a leading global platform for private investors. We are working with them exclusively on a Head of Compliance role, this will be Bristol based (hybrid).
THE RESPONSIBILITIES:
* Support the CEO, CRO and Executive Committee members in establishing and maintaining a constructive and open dialogue with the FCA and any other appropriate authorities and to ensure that any regulatory reports, including Reg Data returns, or enquiries are handled appropriately and promptly.
* Proactively review and update the regulatory compliance framework, including Compliance Manuals, Policies and Procedures, in response to changes internally and externally.
* Oversee the first line to ensure compliance with relevant rules and regulations.
* Ensure that the Executive Committee is kept fully informed of all regulatory matters including emerging regulations.
* Provide guidance and advice on regulatory matters across the business. Collaborate with internal and external stakeholders to monitor enforcement of standards and regulations.
* Work across the company business lines engaging with a degree of pragmatic collaboration to find compliant solutions to business problems, whilst influencing business culture.
* Develop and maintain effective relationships with various stakeholders across the business.
* Lead the Compliance team and manage the Compliance SLT team.
* Ensure Compliance policies within the role remit (e.g., Personal Account Dealing Policy) remain up to date.
* Deliver clear and comprehensive governance committee compliance reports, providing context, key risks/ issues and proposed mitigating actions, where applicable.
* Oversee the submission of regulatory reports, including Reg Data returns, or technical enquiries from the FCA are handled appropriately and promptly.
* Accountable for Compliance Plan delivery and ensure that the Executive Committee are kept fully informed of findings and proposed actions.
* Proactively identify regulatory developments within or outside of the company as well as evolving best practices in compliance control
* Work collaboratively across the Chief Risk Office functions to support an agile and dynamic approach to compliance and risk management.
EXPERIENCE REQUIRED:
* Excellent level of understanding and working knowledge of FCA rules impacting wealth, asset and fund management including platforms
* Excellent knowledge of legislation such as FSMA and MiFID II
* Experience in asset management (ideally with exposure to retail market) preferable
* A broad business understanding with attention to detail
* Professional qualifications in Compliance are desirable.
* Proven Head of Compliance (or similar) experience and experience of managing a team of Compliance professionals.
For further information please contact Duncan Jeffery
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