Head of Compliance IFA

3 days ago

Tamworth, United Kingdom Get Staffed Online Recruitment Full time
Head of Compliance National IFA

As the Head of Compliance National IFA, you will be responsible for leading the compliance function within our client and subsidiary companies. This role requires a strong understanding of regulatory requirements and the ability to develop and implement effective compliance strategies.

Key Responsibilities:
  • Develop and implement compliance policies and procedures to ensure adherence to regulatory requirements.
  • Manage the operational effectiveness of the company's systems and controls to ensure compliance with FCA requirements.
  • Oversee the company's anti-money laundering activities, policies, and procedures, including day-to-day AML investigation and reporting.
  • Provide support, guidance, and advice to the Board, Managers, Advisers, and Staff to support and facilitate a strong compliance framework and culture.
  • Review and have signed 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.
  • Ensure the company's T&C Scheme meets the companies and FCA requirements and applies Consumer Duty standards as required.
  • Support the Office Manager within the business, providing guidance and input on regulatory requirements.
  • Liaise with the FCA where required, and complete company's RMAR twice yearly and other submissions required by the FCA.
  • 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.
  • Responsible for dealing with clients' complaints and ensure that appropriate action is taken.
Requirements:
  • MUST HAVE WORKED WITHIN AN IFA FIRM IN A SENIOR COMPLIANCE POSITION
  • Excellent communication and problem-solving skills.
  • Ability to manage others in an effective and motivating way.
  • Well-organized with the ability to manage own workload.
  • Report writing skills and excellent IT skills.
  • Knowledge of all financial products and several years' experience in a previous Senior IFA Compliance role.

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