Compliance Director
4 weeks ago
Job Description
IDEX Consulting Ltd are currently partnered with a bespoke Financial Planning business in Surrey who are seeking a Compliance professional to head up their team.
The client is undergoing an exciting period of international growth, including new jurisdictions, more products, and increased headcount.
As a strategic Compliance role, the successful candidate will be responsible for ownership of the compliance plan, regulator relationships, and all horizon scanning, thematic reviews, and compliance advice to the business and board.
Please note that this is a senior Compliance position requiring experience in the Financial Planning, Wealth, or Pensions industry.
Key Responsibilities:
- Develop and implement the compliance plan
- Manage regulator relationships
- Conduct horizon scanning and thematic reviews
- Provide compliance advice to the business and board
Requirements:
- Experience in the Financial Planning, Wealth, or Pensions industry
- SMF16 or 17 experience
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