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Head of Global Risk and Compliance

BBBH2279_1540312774
£60000 - £100000 per annum


Head of Global Risk and Compliance - Wealth Management
A Wealth Management company in the South West are looking to recruit a Head of Global Risk and Compliance to lead their business.
This is a Permanent Role
Role: Head of Global Risk and Compliance
Salary: Based on experience
Location: South West
This role will be reporting directly to the CEO and work with key stakeholders across the business. You will oversee all Risk and Compliance throughout the business. This is a new business and will require you to roll your sleeves up and get stuck in. One of the key perks to this role is that you have a key role in growing the business and assisting profitability with your commercial acumen.
The company itself has a very collegiate culture and as it is a small team finding the right person is important to them. They are looking for someone with regulatory exposure in the EMEA and preferably the US as well. Reacting to projects as they arise is important working to tight deadlines. As the business grows travel may be included but for now flexible working is a possibility for a few days per week.
The roles main responsibilities will be:

  • Writing reports to the FCA & other international regulatory bodies as required.
  • Attending Risk, Audit and Investment committee meetings.
  • Keeping up to date on Regulatory knowledge of jurisdictions that the company is operating and distributing to.
  • This position will hold the CF10 & CF11 function.
  • Oversee internal audits for monitoring and financial crime aspects of the business.
  • Sign off marketing materials to be distributed to various regions.



You will need:

  • Experience working in EMEA as a minimum with US regulatory experience being beneficial.
  • Have held a head of role or control function previously.
  • Knowledge of various wealth products.
  • Experience writing policies and procedures for the business.

This job has now been filled but you may be interested in:

 

Financial Crime Officer


I am currently working with a London based wealth management firm who are currently looking for a Financial Crime Officer to join their existing team on a permanent basis. Looking to pay around £35,000
The overall role would be focusing on:

  • Implementing financial crime prevention procedures
  • Conducted risk assessment of high-risk
  • Contributing to maintenance and updating of relevant policies and procedures.
  • Reviewing, investigating and implementing actions regarding allegations of Fraud.
  • Conducting reviews



The ideal candidate will have:

  • An ability to liaise and support various stakeholders
  • A good understanding of JMLSG Guidance and connecting AML Legislation
  • Professional Qualification in AML or FC to the level of ICA Advanced Certificate or similar. Or a willingness to study for this qualification where appropriate.
  • A good understanding of the overall responsibility of Financial Crime and its impact on different areas of the business.

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