Head of Compliance

1 month ago

Liverpool, United Kingdom Clayton Davies Full time

Overview: Our client is a growing Wealth Management firm who are looking for a Head of Compliance (SMF16) to join their compliance team. This role is vital for overseeing their compliance framework and ensuring that the firm meets all regulatory requirements set by the FCA. The successful candidate will lead a team of compliance professionals, fostering a culture of compliance and continuous improvement.


Key Responsibilities:


Leadership and Team Management: Lead and manage a team of compliance specialists, providing guidance, support, and professional development opportunities to enhance their skills and effectiveness.

Compliance Oversight: Oversee the firm’s compliance program, ensuring adherence to the SMF16 requirements and other regulatory obligations specific to the IFA sector.

Policy Development: Develop, implement, and maintain robust compliance policies and procedures, ensuring they are aligned with current regulations and best practices.

Compliance Monitoring: Design and execute a comprehensive compliance monitoring plan, including regular audits and reviews to assess compliance across different business areas.

Risk Assessment: Identify, assess, and manage compliance risks within the firm, developing risk mitigation strategies in collaboration with senior management.

Training and Awareness: Conduct compliance training sessions and workshops to ensure all staff are aware of their compliance responsibilities and the importance of adhering to regulatory standards.

Reporting and Communication: Prepare and present detailed compliance reports to senior management and the Board, highlighting key compliance issues, trends, and recommendations for improvement.

Regulatory Liaison: Act as the primary point of contact for regulatory bodies during audits and inquiries, ensuring effective communication and resolution of compliance issues.

Continuous Improvement: Stay abreast of regulatory changes and industry trends, recommending adjustments to compliance strategies and practices as necessary.


Qualifications:

  • Extensive experience in compliance within the financial services sector, with a strong preference for IFA experience.
  • Proven track record of team leadership and management, with the ability to motivate and develop a diverse group of compliance professionals.
  • Minimum Level 4 qualified in Financial Advice (or equivalent)

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