Head of Compliance IFA

4 weeks ago

Staffordshire, United Kingdom GET STAFFED ONLINE RECRUITMENT LIMITED Full time

Job Title: Head of Compliance IFA

Company: GET STAFFED ONLINE RECRUITMENT LIMITED

Location: Remote

Job Type: Full-time

Salary: £55,000 - £70,000/annum; Pension DIS & CI

About the Role:

We are seeking an experienced Head of Compliance IFA to join our team. The successful candidate will be responsible for ensuring the company's compliance with regulatory requirements, managing compliance oversight, and overseeing the operational effectiveness of the company's systems and controls.

Key Responsibilities:

  • Manage compliance oversight, including responsibility for delivering the company's Consumer Duty plan.
  • Oversee the operational effectiveness of the company's systems and controls, ensuring they meet regulatory requirements.
  • Work with the SMF17 to oversee the company's anti-money laundering activities, policies, and procedures.
  • Responsible for day-to-day AML investigation and reporting.
  • Provide support, guidance, and advice to the Board, Managers, Advisers, and Staff to support and facilitate a strong compliance framework and culture.
  • Review and have signed 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.
  • Annual Fit and proper checks and ensure Advisers maintain SPS.
  • Support the Office Manager within the business, providing guidance and input on regulatory requirements.
  • Log receipt and review FCA notices and good practice guidance to determine applicability and advise procedural amendments required.
  • Liaise with the FCA where required.
  • Completion of company's RMAR twice yearly and other submissions required by the FCA.
  • 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.
  • Responsible for dealing with clients' complaints and ensure that appropriate action is taken.
  • Liaise with PI insurer where required.
  • Oversee and deliver the internal file checking procedures working with the company's file checker.

Requirements:

  • MUST HAVE WORKED WITHIN AN IFA FIRM IN A SENIOR COMPLIANCE POSITION
  • Communication – the ability to effectively communicate at all levels, both written and verbally, with all internal/external customers.
  • Attention to Detail – being attentive to detail in the planning and execution of tasks, complying with policies and procedures and stay alert to spot errors and inconsistencies.
  • Problem solving – solves problems, developing solutions, analytical thinking, and judgement.
  • People management – manage others in an effective and motivating way, balancing task focus and being sufficiently people orientated to be aware of issues and sensitivities.
  • Planning and organising – ability to see priorities, plan the efficient use of resources and monitor progress against objectives. Respond effectively to unforeseen events.
  • Delegating – the ability to effectively delegate tasks to the most suitable individuals, appreciating capabilities of others.
  • Preferably qualified to Diploma level.
  • Experience within the Financial Services Industry.
  • Well organised with the ability to manage own workload.
  • Report writing skills.
  • Excellent IT skills.
  • Knowledge of all financial products.
  • Must have several years' experience in a previous Senior IFA Compliance role.

What We Offer:

We offer a competitive salary, pension, and a supportive work environment.

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