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Head of Compliance IFA

2 months ago

Tamworth, Staffordshire, United Kingdom GET STAFFED ONLINE RECRUITMENT LIMITED Full time
Head of Compliance National IFA

Location: Tamworth, Staffordshire

Salary/Rate: £55,000 - £70,000/annum; Pension DIS & CI

Key Responsibilities:

  • Collaborate with the Managing Director SMF16 to execute the Head of Compliance role for our client and subsidiary companies.
  • Oversee Compliance oversight, including responsibility for delivering the companies Consumer Duty plan.
  • Ensure the operational effectiveness of the company's systems and controls designed to achieve compliance with FCA requirements.
  • Work with the SMF17 to oversee the company's anti-money laundering activities, policies, and procedures.
  • Lead day-to-day AML investigation and reporting.
  • Provide guidance and advice to the Board, Managers, Advisers, and Staff to support a strong compliance framework and culture.
  • Review and sign off, in line with compliance procedures, all written material for external use.
  • Lead, manage, motivate, and develop the Advisers and Staff by coaching and training to ensure performance standards are maintained.
  • Support the Office Manager within the business, providing guidance and input on regulatory requirements.
  • Have a good working knowledge of the FCA Connect and Reg Data system with responsibility for completion and submission of all applications and reports required.
  • Deal with clients' complaints and ensure appropriate action is taken.

Requirements:

  • Effective communication at all levels, both written and verbally, with all internal/external customers.
  • Attention to detail in the planning and execution of tasks, complying with policies and procedures.
  • Ability to see priorities, plan the efficient use of resources, and monitor progress against objectives.
  • Experience within the Financial Services Industry.
  • Report writing skills.
  • Knowledge of all financial products.
  • Several years' experience in a previous Senior IFA Compliance role.