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Deputy Head of Compliance - Financial Services. - Reading, Oxfordshire, United Kingdom, RG1


Deputy Head of Compliance - Financial Services. to £80,000 + bonus

Previous senior Compliance experience within an FCA regulated environment is essential for this exciting opportunity with a multi-award winning financial services organisation. Pensions exposure would be beneficial.

Considered by many to be a market leader in their field they are continuing to grow and anticipate the successful candidate should expect promotion to the Head of Compliance within five years of starting this role.

Duties will include :

Providing FCA compliance guidance for two regulated companies

Ensuring policies, processes, systems and controls in place to comply with FCA requirements

Training, educating and promulgating compliance policies and processes to affected staff

Supporting FCA regulatory reporting

Regulatory compliance reviews

Supporting activities in relation to AML controls for all group companies including in relation to investment scams

Ensuring processes, systems, controls and training in place to comply with ML Regulations and Sanctions requirements

Supporting the Data Protection Manager with regard to data protection issues

Communicating with all levels of staff in relation to regulatory issues

Overseeing FCA regulatory returns and reporting, including PSDR, RMAR and Connect

Overseeing FCA consultation and rule changes

Writing and integrating Compliance policies and procedures using plain English

Providing formal sign off for financial promotions