Head of Compliance

Wales, Cardiff
£70000 - £80000 per annum + amazing benefits
Jun 07, 2021
Jul 05, 2021
JN -062021-2921426
Ross Brown
Job Role
Contract Type
Full Time
Level of qualification

This is one of the best opportunities for a Compliance professional looking to step into a new/bigger role that also brings career progression opportunities.

Client Details

My client is a leading Financial Services organisation based in South Wales.


This is one of the best opportunities for a Compliance professional looking to step into a new/bigger role that also brings career progression opportunities.

Reporting directly to the CRO, the head of Compliance plays a pivotal role in this business.

Key responsibilities and accountabilities include:

  • Ensure effective compliance oversight, supporting the Chief Risk Officer in developing a robust compliance framework and its implementation within the society.
  • Support the delivery of the organisations strategy within risk appetite.
  • Monitor and assess the effectiveness of laid down procedures and controls to maintain compliance with regulatory and other requirements.
  • Maintain effective compliance and conduct risk reporting across the society.
  • Support the business on matters relating to compliance and conduct risk through on demand and advisory activities.
  • Effectively challenge and oversight business on compliance and conduct matters, ensuring a strong risk aware culture in line with the Risk Management Framework (RMF) is embedded into the business.
  • Ensure new and emerging regulatory changes are tracked for relevance to the organisation and Executive owners assigned where required.
  • Liaise with the FCA and PRA and other regulatory bodies as required including ICO.
  • Maintain adequate resources within the team and manage direct reports.
  • Support the first line compliance / QA team in driving a strong compliance culture.
  • Acting as the Data Protection Officer for the organisation and ensuring adequate oversight of data protection across the business. Including of review and escalation of breaches to ICO.
  • Lead and support colleagues in the compliance function and part of the Risk and Compliance Senior Leadership team deputising for the CRO as required.


The successful candidate will have;

  • Significant experience within the financial services sector preferably in a similar senior compliance management role.
  • Balance strategic / commercial decisions alongside risk effectively, influencing and challenging senior stakeholders.
  • Understanding of enterprise wide risk and compliance management.
  • Understanding of Compliance monitoring and assurance approaches.
  • Understanding of operational and conduct risk and their risk management.
  • Knowledge of Money Laundering and Fraud Prevention.
  • Good working knowledge of UK regulatory regime.
  • Educated to degree level or equivalent experience.
  • ICA certificate/diploma or equivalent.
  • Understanding of the SMCR.
  • Knowledge of payment regulations and current accounts (desirable)

Job Offer

A salary in the range of £70,000 - £80,000

excelent benefits including;


Car Allowance

10% pension

29 days annual leave

Private healthcare &

Many more

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