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Interim Head of Regulatory Compliance

Meraki Talent
London, United Kingdom
Closing date
Mar 2, 2024

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Meraki Talent are working with a leading private bank and asset manager who are looking to identify a interim head of regulatory compliance on a 6 month fixed term contract or daily rate inside IR35.

This role is to lead and manage the regulatory compliance team they are pivotal in ensuring they adhere to and complies with laws and regulations relating to regulatory compliance by having in place sufficient systems, controls, policies, and processes and through challenge and oversight of the business.

The team provides timely advice, support, challenge, and oversight on all current and upstream regulatory compliance risks, and on scope and content for compliance policies, training and projects.

Some of your duties will include:

  • To lead and manage the regulatory Compliance team to support the organisation in meeting its regulatory obligations.
  • Represent the Regulatory Compliance team at Committees and meetings.
  • To ensure the business is provided with expert advice and support on the rules and regulations affecting the organisation including but not limited to the FCA Handbook.
  • Proactively identify, investigate, and analyse current or future compliance risks inherent in the business including the identification and monitoring of horizon regulatory developments.
  • To maintain knowledge of applicable legislation and best industry practice, including relevant parts of the FCA Handbook.
  • Lead on relevant departmental projects as well as advice and support to business wide projects.
  • Mentor and support more junior members of the Regulatory Compliance team.
  • Review and update Regulatory Compliance related policies and procedures and drive system and process improvements.
  • To lead, contribute or support with any other regulatory tasks and projects as might reasonably be requested by the Head of Compliance.

We are looking for candidates with:

Excellent knowledge and understanding of private banking and wealth management regulation, including knowledge of:

  • FCA Handbook:
  • Wealth Planning (Trust/Pension/Inheritance/Tax)
  • MiFID II Conduct rules (FCA COBS rules on Conduct and System and Control)
  • SMCR
  • MAR
  • SMCR
  • Whistleblowing and Speak-up
  • Payment Service Regulation
  • Deposit Guarantee Scheme
  • Mortgage conduct of business
  • Complaints Handling
  • At least ten years relevant regulatory compliance experience.
  • Active engagement in sharing knowledge to enhance team skills.
  • Industry and market awareness of requirements, developments and initiatives that may impact the bank and/or its clients in the Compliance environment.

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