Head of Compliance
Oliver James Associates and Tipton and Coseley Building Society are working together in an exclusive partnership to successfully appoint a Head of Compliance.
Tipton and Coseley Building Society are a successful, contemporary independent Building Society founded in 1901, based in four primary locations (Tipton, Coseley, Bilston and Sedgley), with circa 85 employees and 35,000 members which transact through its branches.
It remains a well-run, sound enterprise with committed and customer-oriented employees and a strong local franchise. It is well capitalised and continues to invest in its infrastructure: people, processes and technology.
- Overall responsibility for the development of a coordinated approach to governance and compliance within the Society, including conduct risk and ensuring fair outcomes for customers, and ensuring the Society is compliant with all regulatory and statutory requirements
- Maintain and develop the risk-based Compliance Plan and Compliance Monitoring Plan, liaising with the Director of Risk and Compliance with regard to identification and mitigation of regulatory risk
- Maintain and develop compliance reporting to the Executive and Board/Board Committees, ensuring that this is adequate and timely
- Ensure compliance approval of all marketing literature, adverts and material, including compliance with associated regulations
- Maintain awareness of, and communicate regulatory initiatives/changes, providing advice/support in their implementation
- Carry out the function of Money Laundering Reporting Officer (MLRO) in line with the requirements by the FCA and in the Money Laundering Regulations. Prepare the annual Money Laundering Reporting Officers report
- Maintain and develop systems and controls relating to financial crime including transaction monitoring, fraud and its prevention, and vulnerable customers
- Carry out the function of Data Protection Officer in line with the requirements set out in the General Data Protection Regulations (GDPR)
Experience, knowledge and qualifications (key qualifiers):
- Educated to degree level or equivalent, preferably with relevant professional compliance qualifications.
- Significant experience within the financial services sector (preferably banking or building society) and a deep understanding of the regulatory issues affecting it, and the regulatory requirements and expectations relevant to Senior Management Functions.
- Experience of operating in a senior compliance role including experience of financial crime rules, money laundering reporting, and financial promotion rules.
- Good understanding of the requirements of GDPR.
- Bringing broad ranging leadership skills to the role.
What's on offer
This is an excellent opportunity to join a well-established business that has a strong reputation in the market from both customers and employees.
The Society is offering a competitive salary + package.
If you are interested in this position, then please contact Richard Ollerton at Richard.firstname.lastname@example.org / 0161 694 0779.
Please do not apply directly to Tipton and Coseley Building Society as any direct applications will be redirected to Richard Ollerton.
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