We currently have an exciting opportunity to join us in a Head of Regulatory role. We would be happy for you to work in our Edinburgh, Glasgow or London office and we support flexible/agile working. We are open to considering candidates on a part time or full-time basis

QUALIFICATIONS AND EXPERIENCE:

Essential:

• Relevant significant experience in a senior/leading role in a compliance team in an FCA regulated firm
• Strong understanding of the FCA Handbook and other relevant regulations such as the Bribery Act or Money Laundering regulations and their application to regulated firms.
• Proven ability to deliver

Preferred:

• Relevant professional qualification, for example a Compliance Diploma
• Experience in a Designated Professional Body or an IFoA regulated firm
• Exposure to the pensions or professional services industry.
• Understanding of Authorised Professional Firm regulations.

We would also encourage applications from candidates who perhaps do not possess all the attributes and experience listed above but are competent with the majority and would be able to quickly develop the additional skills and experience required in post with our full support.
A more detailed list of requirements for this position is available within the role profile – which is available on request.

WHAT WILL YOUR ROLE LOOK LIKE?

Hymans Robertson LLP is an Authorised Professional Firm, authorised by the FCA through a licence from the Institute and Faculty of Actuaries. As Head of Regulatory, you will take ownership of our compliance framework approach and engagement with the wider business and lead the management of the Regulatory team. This role is key in supporting our SMF16/17 (Compliance Oversight & MLRO).
This is a great opportunity for someone looking to further their career in regulatory compliance within a professional services firm environment. The expectation for the individual is that they have good influencing and stakeholder management skills and can operate with a pro-active and inquisitive mindset to support the business units in the management of regulatory compliance risk.
The individual should have had significant experience of a senior/leading role in a compliance team of an FCA regulated firm. Experience of working in a regulated Designated Professional Body firm (IFoA) would be an advantage.
Reporting directly to the Chief Risk Officer, you will be vital in collaborating with a range of key stakeholders in providing clear and robust compliance advice and support to ensure that the firm remains compliant with its regulatory obligations

THOUGH THIS IS A VARIED ROLE, YOUR KEY TASKS WILL INCLUDE:

• Own the strategy, business plan and budget for Regulatory team
• Own and provide effective compliance advice and guidance to senior management and business units
• Investigate and address compliance issues and breaches
• Coordinate and support second line of defence oversight; monitor compliance with regulatory requirements and internal policies and oversee our compliance monitoring plan
• Produce and present effective Management Information to senior management, the Audit and Assurance Group and relevant Board(s).
• To operationally act as the Deputy Money Laundering Reporting Officer and thereby ensure appropriate AML/Financial Crime policies, procedures, systems and controls are appropriately drafted and applied in practice.
• Manage and oversee all relevant regulatory reporting and communication requirements including proactively supporting open relationships with the relevant regulators (FCA and IFoA).
• Develop, support and deliver appropriate regulatory training requirements to the firm to ensure relevant Board members /staff maintain and enhance their appropriate regulatory competence.
• Develop and manage four direct reports and ensure the Regulatory team are recognised internally as professional, partnering and solutions driven and so our colleagues proactively seek Regulatory support.

TO ENJOY AND SUCCEED IN THIS ROLE, YOU WILL HAVE:

• Able to take on responsibility and to quickly gain credibility and able to influence and enlist support
• Excellent at building relationships and working collaboratively with a wide range of people
• Excellent communicator with good verbal, written and listening skills
• Resilience to constructive challenge and openness and flexibility of approach to others’ views
• Pragmatic and solutions driven
• Able to take a pro-active approach and present new ideas and ways of working
• Positive and enthusiastic about change; flexible and adaptable