Head of Compliance

2 weeks ago

West Midlands, United Kingdom MERJE Ltd Full time

We are partnered with a rapidly expanding and acquisitive Wealth Management firm in their search for a Head of Compliance. As Head of Compliance you will be responsible for ensuring the business is compliant with both internal and external policies and regulations.The Head of Compliance oversees the development and implementation of procedures that facilitate compliance, the postholder will also work with other stakeholders to ensure compliance throughout all departments and ensure that the organisation has the necessary resources to research and track external laws, regulations, and industry standards.. 

Key responsibilities:CF10/SMF16 – Compliance Oversight

  • Responsible for the compliance function in the firm and reporting to the governing body on this function.
  • Accept personal responsibility for adherence to the FCA statement of responsibilities 
  • Maintain fit and proper status and uphold the FCA values (honesty, integrity, and reputation; competence and capability; and financial soundness)

General Contributions and Outputs

  • Management of regulatory risk across authorised firms
  • To establish and maintain a constructive and open dialogue with the FCA and any other appropriate authorities and to ensure that any regulatory reports or enquiries are handled appropriately and promptly.
  • Design and implementation of suitable compliance arrangements in accordance with FCA regulations
  • Provide guidance and advice on regulatory matters across the business.
  • Oversee the review and development of existing products and services.
  • Engage with business departments, using a degree of pragmatic collaboration to find compliant solutions to business problems.
  • Review the findings from regulatory due diligence and make recommendations to the Board in respect of any potential future acquisitions
  • Reporting to the COO and Founder on compliance across the group, escalating, addressing, and documenting any concerns
  • Managing internal compliance resources
  • Where necessary, overseeing remedial action as a consequence of regulatory risk
  • Overseeing regular auditing to ensure compliance with FCA regulations

Skills and Experience:

  • Experience in a similar Compliance role within an IFA/Wealth Management firm. 
  • Previous specific senior manager functions such as SMF16 would be advantageous 
  • Deep understanding of financial planning products
  • Relevant qualifications in Compliance/Financial Planning (e.g., ICA, DIPFA certificates/diplomas).
  • Degree qualified or equivalent experience.
  • Detailed knowledge of the Regulator’s rules, for the role that that is undertaken

Applicants must be located and eligible to work in the UK without sponsorship. Please note, should feedback not be received within 28 days, unfortunately your application has been unsuccessful. In applying for this role, you may be registered on our database so we can contact you about suitable opportunities in future. Your data will be managed in accordance with our Privacy Policy, which can be found on our website. If you would like this job advertisement in an alternative format, please contact MERJE directly.

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