Compliance Director

4 days ago


Liverpool, Liverpool, United Kingdom Clayton Davies Full time

About the Role: We are seeking a seasoned Compliance Director to join our team at Clayton Davies. As a key member of our compliance department, you will be responsible for overseeing our compliance framework and ensuring that we meet all regulatory requirements set by the FCA.

Key Responsibilities:

  • Compliance Leadership: Provide strategic leadership and direction to our compliance team, ensuring that we maintain a strong compliance culture and stay ahead of regulatory changes.
  • Policy Development: Develop, implement, and maintain robust compliance policies and procedures, ensuring that they are aligned with current regulations and best practices.
  • Compliance Monitoring: Design and execute a comprehensive compliance monitoring plan, including regular audits and reviews to assess compliance across different business areas.
  • Risk Assessment: Identify, assess, and manage compliance risks within the firm, developing risk mitigation strategies in collaboration with senior management.
  • Reporting and Communication: Prepare and present detailed compliance reports to senior management and the Board, highlighting key compliance issues, trends, and recommendations for improvement.

Requirements:

  • Extensive experience in compliance within the financial services sector, with a strong preference for IFA experience.
  • Proven track record of team leadership and management, with the ability to motivate and develop a diverse group of compliance professionals.
  • Minimum Level 4 qualified in Financial Advice (or equivalent).

Salary: £80,000 - £110,000 per annum, depending on experience.


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