Head of Compliance

www.topfinancialjobs.co.uk - Jobboard; Poole; On-site; GBP 60,000 - 90,000; Full time

Job summary

A leading SME in Poole seeks a Head of Compliance to manage the compliance function and ensure adherence to regulatory requirements. The role involves overseeing risk management, compliance activities, and reports, contributing to the Strategic Leadership Team. Interested candidates should possess relevant experience in financial services compliance and strong stakeholder management skills.

Qualifications

• Experience in a senior compliance role within financial services.
• Strong working knowledge of UK regulatory requirements.

Responsibilities

• Oversee the Enterprise Risk Management Framework.
• Serve as the appointed Compliance Officer and MLRO.
• Lead compliance monitoring activities and risk assessments.

Skills

Leadership

Stakeholder Management

Regulatory Knowledge

Risk Assessment

Team Management

Compliance Monitoring

Education

ICA, CISI, or similar compliance or AML qualifications

Job description

Chilworth Partnership are exclusively supporting an industry leading SME, based in Poole, in their search for a Head of Compliance. This role will lead and manage all aspects of the compliance function and ensure the business adheres to all regulatory requirements, internal policies, and industry best practices.

Reporting to the c-suite, this newly created role will be responsible for:

• Oversee the Enterprise Risk Management Framework, including the Risk Appetite Statement (RAS) and Risk Register.
• Serve as the appointed Compliance Officer and MLRO, supporting the operational teams in owning and adhering to 1st line compliance controls.
• Advise the Board and senior management on compliance obligations and emerging regulatory risks.
• Lead compliance monitoring activities and undertake regular risk assessments, including effectiveness of controls.
• Manage all regulatory reporting and serve as the primary point of contact with regulatory bodies.
• Investigate and manage any compliance breaches, customer complaints or whistleblowing reports.
• Oversee financial crime prevention measures, including AML and fraud controls.
• Lead on preparing for and managing external audits or inspections.
• Contribute as a key member of the Senior Leadership Team and the Chair of the Risk Committee, providing strategic insights to drive company success.
• Lead, manage, and develop the internal compliance team, promoting a collaborative and high-performance culture.

Requirements:

• Experience in a senior compliance role within financial services.
• Strong leadership and team management skills, with ability to nurture and develop.
• ICA, CISI, or similar compliance or AML qualifications (desirable).
• Strong working knowledge of UK regulatory requirements.
• Experience in dealing with regulatory bodies.
• Ability to interpret complex regulations and apply them in a commercial and pragmatic way.
• Excellent stakeholder management skills, with ability to influence and challenge c-suite stakeholders.

This is an excellent opportunity to join an organisation who have experienced rapid growth in recent years, playing a critical role in defining and leading the compliance function in the short, medium and long term. There will be an expectation to be in the office 4 days a week.

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