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Head of Compliance SMF16/17

4 months ago

London, United Kingdom Heronsgate Capital Full time
Company Description

Do not wait to apply after reading this description a high application volume is expected for this opportunity.
Heronsgate Capital is a boutique financial planning and investment management firm based in central London. We specialise in providing a high touch personal service to city professionals, offering comprehensive wealth management advice, tailored to client's individual needs.

Role Description
This is a senior, part-time role, for Head of Compliance with responsibility for SMF16 and 17. As a member of the firm's senior management team, the role holder will lead on compliance and risk, preserving and enhancing our existing framework of systems, controls and policies to fulfil our regulatory responsiblities and maintain our "best in class" culture. The role also involves extensive collaboration with internal stakeholders, providing leadership, guidance and expert support on compliance matters. Full role description available on request.

Qualifications
Minimum of 5 years experience within a wealth management environment.
Previously held SMF 16 and 17 leadership role, or equivalent senior position within a comparable business.
Strong knowledge and understanding of FCA regulations, and wider expertise in risk and corporate governance.
Ability to lead function, act as expert trusted adviser and be responsible for building and maintaining a strong culture of compliance adherence across the business.
Professional communication manner (written and verbal) and the ability to form strong working relationships with the existing team.
Highly organised with an ability to work accurately to deadlines with accountability and ownership for own deliverables and task management.
A pro-active 'can-do’ personality and ability to influence and effect change where necessary, by confidently communicating with employees at all levels.
Educated to degree level and/or holding a relevant professional qualification.

Competitive remuneration package