Head of Compliance – Financial Advisor/IFA Compliance Experience Required
Our client, a successful financial planning and wealth manager, are looking for a new Head of Compliance & MLRO to take up a role that will form part of the senior management team. Reporting directly to the CEO & managing a small team, duties will include;
- Responsibility for the day-to-day management of the Compliance function, including advising the business on day-to-day regulatory matters
- Formulating the firm’s compliance strategy based on government legislation and the FCA’s rules and guidance on best practice.
- Ensuring that senior management remain informed of regulator and legislatives changes and their obligations under these changes and how they impact the business.
- Managing the implementation of compliance policy and establishment of adequate in-house controls and compliance procedures, thereby ensuring operation within regulatory requirements.
- Overseeing the company’s Compliance Monitoring Programme, ensuring remedial action is taken where required.
- Making or supervising the submission of required reports to the FCA, and managing all regulatory interaction.
- Acting as MLRO and maintaining and ensuring the monitoring of effective risk-based AML processes and procedures
- Managing and delivering all compliance related projects as well as implementation of new regulatory requirements
- Input into the development of technical systems and business processes to minimise risks associated with new products or services and business development
Candidates should have good senior compliance experience gained from a Financial Planner/IFA or Private Wealth Management firm and be willing to pick up areas of Discretionary Fund Management regulation if not covered before. NB our client is looking for a Head of Compliance who is not only a thought leader and strategic planner but can also take a sleeves rolled up approach when needed. Excellent opportunity to utilise existing FP experience and develop DFM knowledge too.
This role will be a hybrid working model allowing 3-4 home working days depending on need as well at least a day per week in the Brighton Office. So, if you believe you have the breadth of technical knowledge and self-drive to take ownership of this role then please contact Gary Collins on 020 7562 7400 or send your details to Gary Collins (including a contact number & email) by clicking Apply below. However please note due to Covid we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).
We are acting as an employment agency in relation to this role.
Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.