Head of Compliance

Axon Moore has been exclusively engaged by an award-winning global investment bank as it looks to appoint a European Head of Compliance to be based in their Manchester office.

Reporting into the European CFO, the Head of Compliance with develop a positive compliance culture including the provision of proactive advice and guidance to ensure an awareness of compliance and risk management is embedded throughout the business functions and is an integral part of all decision making. This will include constructively challenging and contributing to the business planning process developing relevant strategies and drive the formulation of compliance strategy, budgets, policies, and procedures.

This is a senior role suitable for an experienced Risk and Compliance professional with a proven track record in Financial Services.

Key Accountabilities

Regulatory Policy
• Provide management oversight on all regulatory standards and policies in accordance with the rules and guidance of the FCA and to provide a compliant framework
• Provision of technical advice and guidance to directors, senior management and all business areas, covering all elements of the FCA Handbook
• Oversee the establishment of appropriate policies and procedures to ensure timely identification of regulatory requirements and guidance issued by the FCA
• Routinely review compliance operations and procedures to ensure these are efficient, client focused and fit for purpose
• Build relationships and act as the interface with Regulators by providing notifications, routine reports changes to permissions and responses to ad-hoc enquiries
• To oversee approach to anti-money laundering and counter terrorist financing

Risk Management
• Oversee the risk management approach and structure to achieve compliance with the risk management approach determined by the parent company
• Identify emerging compliance risks by closely monitoring regulatory developments and internal and external business initiatives

Compliance Monitoring
• Oversee the annual compliance monitoring plan strategy, activities, procedures and resources, ensuring that risk-based monitoring activity is carried out in accordance with the annual monitoring plan
• Maintain an effective and robust process for independently assessing the quality of advice provided to clients against defined business standards and regulatory requirements

Management Information
• To ensure the provision of good quality Management Information and reporting to the Executive together with recommended solutions for issues identified
• To ensure all risks of a significant nature and impact are reported to the Executive

Relationships, Both Internal and External
• Internally - with Regional Managers, Senior Functional Managers, Directors, Risk Management Committee and Executive
• Externally – the FCA, 3rd Party Suppliers, Platform and Product Providers

Knowledge, Skills and Experience:

Knowledge and Experience
• Graduate level, preferably a qualified, practice-trained accountant
• Experience in a senior risk/compliance role preferably within an FCA environment
• A risk specialist with experience of developing a regulatory support and advisory function
• Experience of strategy interpretation and delivery
• Strong understanding and delivery of Corporate Governance

• Capable of building a strong relationship with business stakeholders and delivering a proactive programme of regular advice and practical support for all areas of the business
• Proven track record of delivering operational change and improving standards
• Project leadership skills and a proven leadership and credibility with directors and senior management
• Capable of interpreting and delivering operational and strategic advice on regulatory developments processes and standards
• Drafting skills – the ability to write documents, correspondence, briefing notes and procedures in a clear and concise format

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