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Head of Compliance – Financial Advisor/IFA Compliance Experience Required

Recruiter
Compliance Recruitment Solutions Ltd
Location
Brighton, East Sussex
Salary
£80K plus Bonus & Benefits
Closing date
8 Dec 2021
Reference
3830G

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Job Details

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
.
 

Company

Set up 25 years ago, all our Consultants are former Compliance Officers and specialise in finding candidates across Compliance, Data Privacy, Financial Crime (including ABC & AML/KYC) & Risk across all sectors.

Thus as former practitioners we can help firms write job specs and via our MD (a well known Chartered Accountant & former Deputy Head of Compliance for a FTSE 100 Group with 33 years experience of the Compliance Job Market since it first properly started), can fairly advise on salaries for given candidate criteria/job responsibilities. We are based next to the Bank of England but also represented in Dublin, Geneva & Madrid (also all by former full time compliance officers too) and have affiliates globally..

Also having all been candidates ourselves, we believe in giving proper long term career advice and would never push you into a role we didn’t think was both within your abilities and right for your career development, nor would ever send your cv to a firm without your express permission.

Company info
Telephone
020 7330 6966
Location
Token House
11/12 Token House Yard
London
EC2R 7AS
United Kingdom

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