Head of Compliance

4 weeks ago

Oxford, Oxfordshire, United Kingdom Martis Search Full time £75,000 - £90,000
Job Title: Head of Regulatory and Compliance

Are you a seasoned Compliance professional looking for a new challenge? Martis Search is representing a boutique privately owned UK Private Client focused Wealth Management company to hire a permanent Senior Compliance Manager.

About the Company

The company boasts various in-house Equity, Fixed Income funds for mainly UK-based High-Net Worth individuals (HNWs), as well as some Charities and Trusts. They are highly profitable, stable, and grow via acquisition.

The company has almost no staff turnover and is probably the most genuinely "family-feel" boutique Wealth Management type company that we have ever seen. They have some amazing perks and benefits package, great working hours, and culture too.

About the Role

The Compliance function is made up of a small and hard-working team of Compliance professionals. The chosen incumbent will be responsible for overseeing and managing the Compliance function within the firm, ensuring that the company and its employees are adhering to internal policies and procedures and also with external regulatory requirements.

The role involves Compliance Monitoring of their Wealth Management Advisors, performing spot checks on client files, and advising all employees on applicable Regulatory obligations.

The ideal candidate will have extensive Wealth Management Compliance experience, from both a Transaction Monitoring and Regulatory perspective, with a strong knowledge of the FCA Rule Book and COBS 1.

Key Responsibilities
  • Implement the objectives set out in the CISL Compliance Manual and Compliance Monitoring Programme
  • Monitor all aspects of the business to identify actual or potential weaknesses of internal controls
  • Recognise potential instances of fraud and money laundering and, where agreed, report these instances to the appropriate authority
  • Ensure regulatory reporting requirements are met
  • Act as Compliance Officer in identifying, investigating, and rectifying rule breaches, and fulfill any associated reporting requirements
Requirements
  • Relevant qualifications such as CISI Level 6 Diploma in Financial Compliance
  • Knowledge of business processes, standards, policies, and procedures
  • Experience within the Financial Services Industry
  • Knowledge of Microsoft Word, Excel, Outlook, and ideally Intelligent Office, Volume, Imago, and Pulse dealing system
What We Offer

75k pa - £90k pa plus bonus, very good pension, share scheme, excellent holiday entitlement, and medical care.

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