Head of Compliance

Key Responsibilities

* Providing compliance leadership and guidance to the compliance department and Together colleagues.

* Act as regulatory compliance oversight

* Ensuring regulatory updates are issued in timely manner and where required based on changes in regulations

* Identify situations that may pose significant compliance risk and ensure Compliance Department guides management in the development/reviewing of applicable policies, procedures and business practices

* Be the first point of contact for the Regulator, maintaining an open and positive working relationship with them and ensure high quality in any correspondence.

* Responsible for specific regulatory areas and processes and being the Together centre of excellence in those areas

* Designing, implementing, and monitoring the independent Compliance Monitoring and Testing Programme

* Periodically revising the annual Compliance Monitoring and Testing Programme

* Independent review of the business assessment of the compliance and conduct risks and thus contributing to the Executive's overall risk assessment

* Ensuring new, and changes to existing, regulations are identified and for working with the business to ensure these are adopted and embedded fully and in a timely manner

* Ensuring accurately and timely delivery of regulatory compliance MI and governance reporting to the Executive, Senior Management Team and associated Governance Committees.

* Representing the Compliance Department on governance and risk forums and committees

* Maintaining relationships with the regulators and working collaboratively with first line in dealing with regulatory inquiries or issues

* Provide advice and support to the firm in determining its senior individuals who are performing roles requiring individual approval under SM&CR

* Providing advice and support to colleagues on regulatory requirements

* Responsible for ensuring regulatory breach assessment are conducted to determine whether an incident has breached applicable regulatory and conduct requirements including oversight of the firms action plans to close breaches

* On a regular basis, performing monitoring and control assessments to ensure the appropriateness and effectiveness of procedures and controls to minimise the risk for non-compliance with external regulations

* Verifying that new, or materially altered, products, services, markets, processes, IT systems and major changes in operations and organisation comply with all requirements