Senior Independent Financial Adviser

4 weeks ago

London, United Kingdom Compliance Recruitment Solutions Full time

Remote Part Time UK Head of Compliance & MLRO – IFA or Wealth Management Experience Required Exclusive: Remote Part Time UK Head of Compliance & MLRO – IFA or Wealth Management Experience Required
  80K - £100K (pro rata) + Bonus & Benefits Remote (Southern England)
We have been appointed by our Client, a Global Wealth Manager, who are looking to hire a UK Head of Compliance & MLRO holding SMF16/17 to oversee their small UK branch business. Perform the SMF16 role of the business including remaining current with all relevant regulatory changes that impact the business and ensuring the business and senior management remain abreast of their obligations.
Provide support, guidance and advice to the Board, Managers and colleagues to support and facilitate a strong compliance framework and culture, ensuring open and effective communication and resolution of compliance issues.
Review existing policies and procedures for effectiveness
As the MLRO, oversee the company’s anti-money laundering activities, policies and procedures.
Ensure ongoing monitoring and review of controls and key processes are in place throughout the business.
Primary point of contact for the FCA, external regulatory and legal advisors.
The successful candidate must have gained senior Compliance & some Financial Crime experience from an IFA or Wealth Management firm and may previously held SMF 16 & 17 (or CF10 or 11) or else be looking to hold these for the first time. NB The role is for between two and three days a week (hence salary will be pro rata to such) but as the UK business is small & non contentious, this can be fitted around other personal & work commitments. Whilst mainly remote with regular Teams meetings, you may be required to attend their City of London offices once a month for in person meetings (although can choose to be based there more often if desired) hence it is likely you are based within Southern England (or Midlands/East Anglia)
Ethical, Expert & Professional Recruitment by former Compliance Officers, specialising in AML & Financial Crime (including Anti Bribery & Corruption, ...
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