Chief Risk & Compliance Leader

Aberdein Considine; Glasgow, City of Edinburgh; Sur place; GBP 120 000 - 160 000; Plein temps

Résumé du poste

Aberdein Considine LLP seeks a Risk and Compliance Director to lead the firm’s risk, compliance and regulatory framework, ensuring ethical conduct and consumer protection across all areas. You will oversee the Training & Competence scheme and support the MLRO function, with a focus on FCA-regulated departments.

The role includes acting as the senior FCA contact, ensuring timely disclosures, maintaining governance MI and promoting a culture of compliance throughout the firm.

Qualifications

• Experience as SMF 16 in an FCA-regulated financial services organisation.
• Strong knowledge of the FCA’s reliance on senior management responsibility.
• Understanding of SMCR and the responsibilities associated with holding a Senior Manager function.
• Knowledge and understanding of FCA rules and regulation and the application to the business.
• Knowledge and understanding of the FCA permissions and the scope in which they can be applied.
• Experience in compliance operations.
• Understanding of the role of service providers to the financial services sector.
• Ability to compile reports, procedures and processes.
• Excellent written and verbal communication skills.
• Excellent organisational skills.
• High levels of accuracy with an eye for detail.
• Experience of working within a law firm or other professional services firm.
• Experience of legal regulation, either Solicitors Regulation Authority or Law Society of Scotland.
• Ability to consider regulatory change and practical application.
• Excellent problem solving skills.

Responsabilités

• Provide overall leadership of the firm’s risk, compliance and regulatory framework.
• Set and promote a firm-wide culture of compliance and consumer focus.
• Ensure services and controls meet FCA requirements and consumer duty obligations.
• Hold senior management responsibility for FCA systems, controls and responsibilities.
• Ensure FCACOND status is maintained at all times.
• Lead the risk and compliance team to deliver regulatory assurance.
• Maintain compliance frameworks, policies, procedures and systems across FCA activities.
• Ensure advice and sales procedures are designed and followed.
• Maintain complete and accurate regulatory records.
• Comply with FSMA 2000, FCA Conduct Rules and Codes of Practice.
• Stay aware of regulatory developments and respond appropriately.
• Act as senior FCA contact and manage regulatory relationships.
• Coordinate regulatory information requests and inspections.
• Produce governance, risk and compliance MI and escalate trends.
• Ensure timely FCA notifications and returns.
• Work with CoLP/CoFA on SRA rules compliance.
• Collaborate with Money Laundering Reporting Officer on controls.
• Support the Data Protection Officer on records and information security.

Connaissances

SMF16 experience

FCA oversight

SMCR knowledge

FCA rules

FCA permissions

Compliance operations

Service provider risk

Reporting

Communication skills

Organisational skills

Attention to detail

Legal/Professional services

Regulatory knowledge

Regulatory change

Problem solving

Formation

Bachelor degree

Governance/Compliance qualification

Description du poste

Aberdein Considine LLP seeks a Risk and Compliance Director to lead the firm’s risk, compliance and regulatory framework, ensuring ethical conduct and consumer protection across all areas. You will oversee the Training & Competence scheme and support the MLRO function, with a focus on FCA-regulated departments.

The role includes acting as the senior FCA contact, ensuring timely disclosures, maintaining governance MI and promoting a culture of compliance throughout the firm.