London (Hybrid)
My client is an industry leader in providing alternative, affordable personal loans. The firm are growing and adapting quickly; with over 20 years of operation nationwide.
The Role:
Reporting to the CEO, this board level position will ensure the firm remains fully compliant with all statutory and regulatory obligations through active management of all aspects of compliance.
In addition, this position is responsible for the development of responses to new regulatory environments and the supervision of their impact on the firm’s products, customers and operational policies and procedures.
Responsibilities include, but are not limited to:
Assisting the business in meeting its regulatory obligations and providing regulatory advice regarding business activities.
Managing the business' day-to-day compliance and financial crime prevention needs of the business.
Supervising the compliance team.
Overseeing compliance monitoring activities and policies (planning, reporting, action planning, record-keeping, fraud reporting, etc.).
Ensuring regulatory compliance is embedded in the company’s culture.
Providing in-depth advice on the FCA rules and guidance as required in connection with regulated activities.
Reviewing risk events and ensuring the company does not breach any regulatory requirements.
Reviewing audit findings and evaluating corrective actions.
Acting as a custodian in keeping records of all correspondence and regulatory reports with the FCA, FOS, and ICO as appropriate.