Head of Compliance IFA
5 days ago
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.
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