The Head of Compliance will be responsible for the compliance function and exercising the Senior Management Functions of Compliance Oversight and Money Laundering as defined by the FCA rules.
- To provide input to the compliance and anti-money laundering elements of the business plan
- To devise an annual compliance monitoring plan to identify, document and assess compliance risks associated with the firms’ activities for approval by the Risk & Audit Committee, and to ensure that the plan is delivered.
- To attend and contribute to Board and Executive Committee meetings and discussions.
- Actively promote the importance of compliance throughout the firms to ensure staff are aware of their regulatory obligations
