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Assuming CF10 & 11 controlled functions within the business
Responsible for ensuring the business has effective systems, procedures and controls for compliance with requirements and standards under the regulatory system, including risk management, governance, Anti-Money Laundering and Data Protection
Reporting to the Boards, both operating company and Group
Maintaining effective relationship with regulatory bodies
Ensuring all notification and reporting requirements are met
Maintenance of documented and effective compliance procedures consistent with internal standards, business goals and attitute to risk
At least to degree level
CISI IOC qualification or equivalent
Ideally achieved or working towards CISI Diploma or equivalent
Skills & Competencies
Current or recent FCA Approved person status
At least 10 years experience of risk, compliance and governance monitoring in a regulated financial services environment, ideally within an investment management business.
Excellent inter-personal and communications skills