Compliance Leadership Role

3 weeks ago


Liverpool, Liverpool, United Kingdom MERJE Full time
Job Title:

Compliance Leadership Role

About the Opportunity:

We are seeking a seasoned compliance professional to lead our firm's regulatory efforts in the Wealth Management sector.

The successful candidate will be at the forefront of ensuring our adherence to FCA regulations and internal policies, reporting directly to the Board.

Key Responsibilities:
  • Develop and implement a robust compliance framework aligned with FCA regulations.
  • Lead the compliance team, providing mentoring, training, and performance management to ensure high standards.
  • Monitor regulatory developments, assess their impact, and advise senior management on necessary actions.
  • Conduct regular compliance risk assessments and ensure the effective delivery of monitoring plans.
  • Act as the primary point of contact for regulatory bodies, including handling notifications, submissions, and communications.
  • Review and approve financial promotions and client communications to ensure compliance.
  • Drive continuous improvement by embedding a culture of compliance across the organisation.
Requirements:
  • Extensive experience in compliance within the wealth management or financial services sector.
  • In-depth knowledge of FCA regulations (Pensions and Investments).
  • Proven ability to manage and develop teams, with strong leadership and mentoring skills.
  • Exceptional communication and interpersonal skills, with the ability to engage effectively with stakeholders at all levels.
  • Highly analytical and detail-oriented, with the ability to interpret and apply complex regulations.
  • Relevant professional qualifications (e.g., ICA, CeMAP, CISI, or equivalent).
What We Offer:
  • A competitive salary package, estimated to be £90,000 - £120,000 per annum, depending on experience.
  • Opportunities for professional development and career progression.
  • A supportive and collaborative work environment.
  • The chance to make a meaningful impact in a respected and growing firm located in Merseyside, with a hybrid working arrangement.


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