Head of Compliance
Posted on Jul 2, 2019 by CV-Library
Following an exciting acquisition and continued growth ahead, we need a new Head of Compliance to join our team at our offices in Ewloe, Flintshire.
Could this be the ideal role for me?
As our new Head of Compliance, you would describe yourself as the kind of person that:
- Is an experienced leader and doesn't shy away from managing complexity
- Knows how to articulate complex matters simply
- Has an expert knowledge of the regulatory expectations combined with current FCA regulation experience
- Is highly credible and respected by key partners
- Has great negotiating skills but can stand firm when it is required
- Is commercially aware with the ability to make decisions that identify and consider risks specific to the business
- Can manage and develop colleagues across multiple locations
Most importantly, you will have strong judgement and be able to identity and focus on key issues whilst guiding and advising others.
Additionally, you will possess a good understanding of broader EU regulation and proven experience of US regulation is an advantage.
It would be great, if you also had experience of:
- Experience with Anti Money Laundering legislation including implementation into policy and compliance management;
- Experience of holding the CF10 and CF11 Controlled Functions and/or being an Approved Person.
Your New Role
Joining the White Oak team as our Head of Compliance, you will be applying the UK regulatory standards required by the Financial Conduct Authority (FCA) throughout the various business areas and offices in the UK. This important role will see you take responsibility for:
- Monitoring and interpreting regulatory change and developments
- Overseeing any projects to implement regulatory change;
- Ensuring that changes required to the Firm's policies and procedures are pro-actively evaluated, identified and remedied;
- Contributing to assessments to ensure the integrity of policies and controls in place;
- Completing internal risk assessments where appropriate;
- Ensure staff familiarity with compliance procedures;
- Contribute to product reviews and new product creation to ensure product governance;
- Oversight of any financial promotions to ensure compliant and fair, clear and not misleading;
- Oversight of all FCA reporting via Gabriel and Connect;
- Acting as key point of contact with the FCA and communicating effectively with them;
- Identification and monitoring of risks for the business,
- Management and oversight of Complaint handling team
While this position will concentrate on the UK initially, there will be additional responsibility as we develop growth plans into Europe.
Why work for us?
If you want to realise your potential and be part of a forward-thinking, fast-paced, customer-focused organisation, then White Oak UK is for you. Looking for perks? Weve got you covered. Our new Head of Compliance will be offered:
- Highly competitive salary
- Attractive bonus potential
- Reward & Recognition programme
- Career development
- Life assurance & healthcare plan
- Contributory pension scheme
- ... and much more
Here at White Oak, our mission is simple: We're here to help smaller businesses get the finance they need with as little fuss as possible.
There has never been a more exciting time to join the White Oak team! Please click APPLY below to register your interest in the role of Head of Compliance.
We are an inclusive employer and welcome applications from applicants from all backgrounds.
No terminology in this advert is intended to be deemed discriminatory. We are happy to accept applications from all suitably qualified persons regardless of their age, gender, race, religion, disability, sexual orientation or marital status
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