Head of Compliance & Risk (Exclusive Assignment) - MERJE | Niche Recruitment
BRINGING TALENT TOGETHER
0203 637 1600 / 0161 883 2740

Head of Compliance & Risk (Exclusive Assignment)

North East | £125,000 - £160,000 | Permanent

Long established and entrepreneurially led, my client is one of the UK’s most innovative financial services group and a significant player in the UK’s wealth management industry.

They are currently looking to appoint an individual who will report directly into the board and take on responsibility for SMF16 & SMF17.

The role:

  • Formulate, execute and document the company’s compliance strategy based on government legislation and the FCA’s rules and guidance.
  • Provide definitive advice on the compliance requirements in relation to strategic business developments within the firm.
  • Manage the implementation and maintenance of compliance policy and the establishment and maintenance of adequate in-house systems, controls and compliance procedures, ensuring compliance with all regulatory requirements. In particular, design and implement the compliance system and procedures appropriate for
    • Acting as custodian; and
    • Acting as a CASS medium firm
  • Oversee the firm’s Compliance Monitoring Programme. Take responsibility for all compliance systems and controls operated by the group, including Anti Money Laundering.
  • Provide technical advice or guidance on compliance matters, within the firm and to the firm’s clients.
  • Ensure that sufficient resources are deployed on compliance matters, manage the development of staff engaged in compliance activities in terms of qualifications and experience.
  • Run a proportionate and effective Risk Management Framework across the firm
  • Manage the relationship with the regulator, including all reporting requirements, communication and visits.

Key Requirements:

  • Demonstrable Compliance experience in a senior management role, and will have obtained / undertaken and approved persons role in an Investment Management or Platform Company, or are employed in a relevant Senior Position at the FCA
  • Excellent knowledge of regulatory process and requirements.
  • Thorough understanding of investment and financial planning principles, processes and products
  • Confident and comfortable communicating with teams and individuals across all hierarchical levels
  • Motivates / inspires the team and its members to perform and add value to the team and the firm
  • Experience of compliance in the following would be an advantage:

o    custodian firm

    • pensions
    • CASS
    • Custodian firm

 

Salary is entirely commensurate with experience and will reflect the significance of the role. For the right candidate, the client is also open to considering support towards relocation or travel / accommodation costs if required.

MERJE have been appointed exclusively on this role. Any speculative CV’s sent directly to the client will be forwarded through to MERJE for evaluation and consideration.

 

Head of Compliance & Risk (Exclusive Assignment) | Manchester

To discuss this position further contact:

Richard Abelson
0161 883 2748 / 07973 317 891
rabelson@merje.com

Ref code: RA/14442
Date posted: 12/04/2018

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What people say about us...

 

Customer Contact Testimonial One

What makes the difference between MERJE and other agencies is the simple principle that they take the candidates seriously and are absolutely open and honest. A consistent factor is that they never disappear; candidates are supported before and after interviews, and receive constructive feedback from agents who are always professional.

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What makes the difference between MERJE and other agencies is the simple principle that they take the candidates seriously and are absolutely open and honest. A consistent factor is that they never disappear; candidates are supported before and after interviews, and receive constructive feedback from agents who are always professional.

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MERJE has a very good understanding of the AML markets and won’t put someone forward if they don’t think they’re capable or qualified. They regularly update you and you get the sense that they care about their clients, as well as the person they’re putting forward. All-in-all an excellent experience.

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MERJE has a very good understanding of the AML markets and won’t put someone forward if they don’t think they’re capable or qualified. They regularly update you and you get the sense that they care about their clients, as well as the person they’re putting forward. All-in-all an excellent experience.

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MERJE was not only very well organised, they had good communication skills and, more importantly, a thorough understanding of the business I was joining. They provided excellent guidance and support throughout a challenging process and the role has presented exactly the right challenge at this stage in my career.

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MERJE was not only very well organised, they had good communication skills and, more importantly, a thorough understanding of the business I was joining. They provided excellent guidance and support throughout a challenging process and the role has presented exactly the right challenge at this stage in my career.

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MERJE were an excellent help and have successfully placed over 5 candidates with me over the past 2 years. I always find their candidates to be more experienced than their competitors and they take a genuine approach to their work. They are very professional and friendly and I would highly recommend their services to potential clients who are looking to recruit.

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MERJE were an excellent help and have successfully placed over 5 candidates with me over the past 2 years. I always find their candidates to be more experienced than their competitors and they take a genuine approach to their work. They are very professional and friendly and I would highly recommend their services to potential clients who are looking to recruit.

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MERJE has been a breath of fresh air, working with such personable, professional and pleasant recruitment professionals. They have restored my faith in recruiters and they stand out above the rest in the wealth management space. I would highly recommend their services to any of my friends or colleagues.

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MERJE has been a breath of fresh air, working with such personable, professional and pleasant recruitment professionals. They have restored my faith in recruiters and they stand out above the rest in the wealth management space. I would highly recommend their services to any of my friends or colleagues.

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MERJE really understands the markets that they operate in and goes to considerable lengths to really understand their clients’ needs. Finding exceptional candidates in the very competitive financial services world is extremely difficult. MERJE has consistently sourced excellent candidates for us. I cannot recommend MERJE highly enough.

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I was tasked with recruiting an entire risk and compliance function and met with MERJE to discuss our requirements. I left them to do the rest – and they did. They know the market and took the time to listen and understand our culture, providing good quality candidates. They are now our ‘go-to’ company.

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