Fintelligent are supporting an innovative finance services group to secure the services of a Chief Compliance Officer to overseeing the Compliance (SMF16) and Risk Divisions.

This is a fantastic opportunity to join an expanding business that provide a wide range of financial services to clients across the UK including a wide range of compliance services, ISA Management, Investment & Peer to Peer Lending programmes.

Role responsibilities will include:

Keep up to date with any changes to UK Compliance regulations and laws, issued via the FCA and the PRA
Responsible for ISA management and compliance with FCA and HMRC rules and guidelines in relation to eligibility and financial promotion
Overall responsibility for the firm's policies and procedures for countering risk
Develop and maintaining compliance policies & procedures, risk assessments and control frameworks
Prepare the appropriate reports for the board demonstrating the effectiveness of the risk management and regulatory compliance framework
The firm's recovery plan and resolution pack and overseeing the internal processes regarding their governanceThe successful candidate will have the opportunity to work from either the Manchester of Belfast offices and will be in a position to accept a salary of GBP60,000 + benefits including private medical insurance

To be considered, the client will be looking for working experience in, but not limited to, the below:

Minimum 5 years Compliance/Regulatory experience at a senior level, in a regulated financial services business which must include a significant amount of experience regards the job purpose and competency requirements
Demonstrated experience dealing with financial services regulators
Solid knowledge of regulatory expectations
Awareness and understanding of debentures, equities, securitization and fund management
Good knowledge of CREST and Euroclear systems preferable
A firm understanding of CASS
Strong knowledge of UK and EU financial services regulatory frameworksCV's should be sent and calls will be arranged to discuss your application if suitable

INDTL