Head of Compliance recruitment
Head of Compliance
Overall Objective/Purpose
- To deliver appropriate and timely compliance support to business management and ensure that significant regulatory risks are identified and managed.
Specific Responsibilities
- Providing technical advice and compliance support to management
- Work with the business to resolve compliance related issues
- Maintain a compliance monitoring programmes appropriate to the business and conduct a programme of surveillance monitoring
- Develop compliance policies and procedures to reflect the changing business and regulatory environment, including data protection and consumer credit policies
- Ensure an appropriate regulatory risk training programme and delivery of compliance related training, as appropriate
- Review NPRAs and provide compliance support to new business/product proposition
- Maintain a constructive and positive relationship with Business Commercial’s regulators, including responding to requests for information and/or assistance
- Promoting strong awareness of KYC requirements and assist in the development of anti money laundering, sanctions and data protection policies
- Ensuring that regulatory notifications are handled in the appropriate manner
- Undertaking inquiries and investigations into compliance breaches
- In discharging the bank’s responsibility to Treat Customers Fairly, to be responsible, as a leader of the risk community, for the creation of an appropriate work environment to ensure delivery of fair outcomes for our customers.
- To ensure that Group wide compliance standards are effectively communicated
- Ensuring that relevant compliance issues are adequately escalated.
Generic Responsibilities
General
• Ensure the business area conducts its activity in accordance with all relevant external regulators and Business Commercial policies.
Compliance
• Ensure compliance with the regulatory and statutory requirements and Business Commercial compliance policies and procedures affecting the business area.
Risk Management
• Ensure the business unit operates in accordance with stipulated risk management policies and procedures
Competencies
Technical
Knowledge of the Business Commercial businesses, relevant markets and products and the relevant regulatory requirements
Other
• Achieving Excellence
• Influencing
• Inspiring
• Communicating
• Building Understanding and Trust
• Developing People
• Collaborating for Success
• Understanding Issues
• Finding Solutions
Rules and Regulatory Requirements
• Insurance Mediation Regulations
• Banking Regulations
• Consumer Credit Legislation
• Data Protection Legislation
• Anti-Money Laundering Legislation
For more Details, please visit our Website – www.hamlynwilliams.com and for further information send any queries to m.pollard@hamlynwilliams.com
Hamlyn Williams is an Executive Recruitment consultancy that specialises in placing Risk, Compliance, Regulatory Information Security professionals globally:- offering Retained, Contingency and Interim/Contract recruitment solutions for the Financial Professional Services.