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Head of Compliance

Knowledge

Analysis of new and emerging regulatory requirements

Reviewing and updating all regulatory and risk management processes procedures and documentation

Liaising with legal advisors on contractual and legal issues

Policy setting for all regulatory areas

Establish, in conjunction with the company’s strategic aims, the Compliance & risk divisional plans and objectives

Develop and set compliance and risk policy, standards and monitoring of performance & trends for the company

Experience in a Compliance role at management level within a broker or insurer is required, along with an appropriate Compliance, Risk Management or CII professional qualification

To support the organisation to meet its business objectives through the management and embedding of risk at all levels, with a specific focus on regulatory (conduct) risk

Provide support, oversight and challenge so that the company remains compliant with relevant regulatory and legislative requirements, including via the maintenance of an effective risk management framework.

Ensure all business incidents are recorded and subsequently managed in line with the policy

Facilitating the identification and capture of business risks and mitigating actions

Skills

Ability to set Divisional strategy

Ensure that there is an effective control framework in place in respect of Financial Crime (Fraud, Anti-Money Laundering, Data Security, Bribery, and Sanctions Screening)

Act as the Data protection Officer, a role model and key driver for Compliance and Risk standards and changes for improvement

Support the delivery and embedding of the vision and values across the business, ensuring TCF is embedded

Embed Compliance and Risk across all areas of the business

Assessing and challenging business initiatives (e.g. products, sales)

Develop a relationship with the FCA and be aware of compliance developments that can impact the company

To actively support and encourage at all times, compliance with our quality principles, company policies and best practice in security, legal and regulatory requirements

Coaching and developing direct reports

Ensure conflicts of interest are identified and managed in line with company policy

Ensure your own continuous professional development by participating in external networking / conferences /associations / groups, to stay current on Industry developments & innovations. Encourage, support and coach other team members in their own development

Behaviours

Motivation and leadership

Coaching & mentoring

Organisation and time management

Delegation

Project management (including planning and budgeting)

Negotiation & influencing

Problem identification and solving

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