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Head of Compliance

Information About This Job

Job Title: Head of Compliance
Contract Type: Permanent
Location: London
Contact Name: Mark Foy
Contact Email: mfoy@lawsonchase.con
Job Published: about 1 year ago

Job Description

Our client is a leading wealth management business in the UK and internationally, helping to create prosperity for the generations of today and tomorrow. They are now seeking to appoint a Multi Asset Head of Compliance to join their London team.


Key Responsibilities

The purpose of this role is to provide regulatory oversight, assurance and advice across the Multi Asset (MA) business, supporting the CRO MA to ensure its business, personnel and stakeholders perform their roles in accordance with all relevant regulations and standards. The role will work closely with the broader compliance teams and regulators to ensure best practices are continuously applied within the MA business.

  • Lead the Compliance team to provide effective compliance oversight and regulatory assurance of MA's business activities, processes, systems and control environment

  • Build and maintain strong relationships with the MA executive and wider risk organisation to enable effective compliance management across the business

  • Provide clear direction on any regulatory changes that impact the Multi Asset range of products and support the implementation of required business change 

  • Ensure that the MA compliance standards and practices are developed and embedded and consistent with best practice, are complied with across the business and remain in line with MA's regulatory tolerance and risk appetite

  • Engage with the broader compliance teams, working to support a robust compliance approach that is aligned across the businesses where appropriate while leveraging the broader capabilities across the teams

  • Support and embed a compliance governance framework within MA, influencing the culture, attitude to, and understanding of its importance across the business

  • Build strong and productive relationships with key regulators

  • Engage in strategic business development/key change management initiatives to ensure that compliance exposures are considered and addressed 

  • Ensure client interests are fully considered within MA products, services and processes, especially in regard to TCF principles

  • " Manage MA's responses to CASS policies and rules as necessary

  • " Develop and manage a compliance team that are empowered to achieve their objectives, and work to have a strong succession plan

  • " Support the wider strategy, including its values, standards and policies


Person Specification

As a person holding a Senior Management Function within the firm, the role holder is required to demonstrate ongoing fitness and propriety and adherence to the following Conduct Rules and Standards:

  • You must act with integrity

  • You must act with due skill, care and diligence

  • You must be open and co-operative with the FCA, the PRA and other regulators

  • You must take reasonable steps to ensure that the business of the firm for which you are responsible is controlled effectively

  • You must take reasonable steps to ensure that the business of the firm for which you are responsible complies with the relevant requirements and standards of the regulatory system

  • You must take reasonable steps to ensure that any delegation of your responsibilities is to an appropriate person and that you oversee the discharge of the delegated responsibility effectively

  • You must disclose appropriately any information of which the FCA or PRA would reasonably expect notice

  • When exercising your responsibilities, you must pay due regard to the interests of current and potential future policyholders in ensuring the provision by the firm of an appropriate degree of protection for their insured benefits

  • You must pay due regard to the interests of customers and treat them fairly

  • You must observe proper standards of market conduct

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