Senior Compliance Monitoring
4 weeks ago
Position: Head of Compliance
Location: St Albans Office, UK
About the Firm: Our client is a leading financial services firm specializing in providing comprehensive wealth management solutions to high-net-worth individuals and families. They are committed to integrity, expertise, and personalized service, empowering their clients to achieve their financial goals with confidence and peace of mind.
Role Overview: Our client is seeking an experienced and highly skilled Head of Compliance to lead the compliance function at their St Albans office. The successful candidate will be responsible for ensuring that the firm operates in full compliance with all relevant regulatory requirements, industry standards, and internal policies and procedures. The ideal candidate will possess expertise in compliance management, have an existing relationship with the Financial Conduct Authority (FCA), and experience in holding the SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) functions.
Develop, implement, and maintain an effective compliance framework and program to manage regulatory risk and ensure adherence to applicable laws, regulations, and guidelines.
- Cultivate and maintain a strong relationship with the FCA, serving as the primary point of contact for regulatory inquiries, examinations, and inspections.
- Monitor regulatory developments and assess their potential impact on the firm's operations, policies, and procedures. Provide timely guidance and recommendations to senior management on compliance-related matters.
- Oversee the implementation of compliance controls, policies, and procedures, ensuring alignment with regulatory requirements and industry best practices.
- Conduct periodic reviews and assessments of the firm's compliance program to identify areas for improvement and mitigate potential risks.
- Lead compliance training initiatives for employees, ensuring that all staff members are adequately trained and knowledgeable about their compliance obligations.
- Collaborate with internal stakeholders, including legal, risk management, and business units, to address compliance issues, resolve conflicts, and implement effective solutions.
- Lead investigations into compliance breaches, incidents, or allegations of misconduct, and implement appropriate remedial actions and disciplinary measures as necessary.
- Maintain comprehensive records of compliance activities, reports, and documentation to demonstrate compliance with regulatory requirements and internal standards.
- Represent the firm in external forums, industry associations, and regulatory working groups to contribute expertise, share insights, and advocate for regulatory reforms or improvements.
Bachelor's degree in finance, business administration, law, or a related field. Extensive experience (minimum 7-10 years) in compliance management within the financial services industry, with a strong focus on wealth management, investment advisory, or private banking services.
- In-depth knowledge of relevant regulatory requirements, including but not limited to FCA rules and regulations, SM&CR (Senior Managers and Certification Regime), AML (Anti-Money Laundering), and KYC (Know Your Customer) requirements.
- Demonstrated experience in developing and implementing compliance policies, procedures, and controls within a regulated financial services environment.
- Strong leadership and managerial skills, with the ability to effectively lead and motivate a team of compliance professionals and foster a culture of compliance and ethical conduct.
- Exceptional communication and interpersonal skills, with the ability to communicate complex regulatory concepts clearly and concisely to diverse stakeholders at all levels of the organization.
- Flexibility to adapt to changing regulatory requirements, business needs, and priorities, and a commitment to continuous professional development and learning.
The firm is an equal opportunity employer and welcomes applications from qualified individuals regardless of race, gender, age, disability, sexual orientation, religion, or nationality.
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