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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 to execute the Head of Compliance role for our client and subsidiary companies.
  • Oversee compliance oversight, including responsibility for delivering the Consumer Duty plan.
  • Ensure operational effectiveness of systems and controls to meet FCA requirements.
  • Work with the SMF17 to oversee anti-money laundering activities, policies, and procedures.
  • Investigate and report AML incidents.
  • Provide guidance and support to the Board, Managers, Advisers, and Staff to maintain a strong compliance framework.
  • Review and approve written material for external use.
  • Lead and develop Advisers and Staff through coaching and training.
  • Support the Office Manager with regulatory requirements and compliance matters.
  • Manage FCA Connect and Reg Data system applications and reports.
  • Handle client complaints and ensure appropriate action is taken.

Requirements:

  • Effective communication at all levels.
  • Attention to detail in planning and execution of tasks.
  • Planning and organizing skills to prioritize tasks and resources.
  • Experience within the Financial Services Industry.
  • Report writing skills.
  • Knowledge of financial products.
  • Several years' experience in a Senior IFA Compliance role.