Director of Compliance
Salary Dependent on skills and experience
Consultant Kayte Short
Date posted 09 September 2016
An excellent Director of Compliance opportunity has arisen with a fantastic stockbroking organisation based in Birmingham City Centre focused on establishing policies to address the internal and external regulatory rules and requirements relating to the settlement and operations department.
The Director of Compliance, within this excellent Financial Services business based in Birmingham will sit in the second line of defence function and provide compliance oversight and challenge as well as support and advise in relation to the settlement department to ensure the business establishes and maintains effective systems and controls for compliance with applicable regulatory requirements and standards under the regulatory system.
Key responsibilities of the Divisional Director of Compliance includes:
- As a member of the operations committee, provide compliance oversight, challenge and guidance
- Undertake analysis of FCA papers and provide guidance to the business
- Lead compliance related projects with regard to the settlement and operations department
- To escalate and report significant regulatory issues to the Divisional Directors
- To liaise with external bodies such as the FCA on settlement and operational related matters
The Director of Compliance will possess excellent experience in the investment management or stockbroking areas of financial services and experience of ensuring compliance with the relevant local and global requirements. You will have held a similar role where you developed experience of the firms products and services and possess excellent compliance industry and market awareness and knowledge.
This is an excellent opportunity with an excellent business with great opportunity for growth. If this Divisional Director of Compliance role is of interest, please apply now or contact Kayte Short on 0121 260 2564 or at email@example.com for further information.