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Compliance Director

4 weeks ago

Birmingham, Birmingham, United Kingdom Premier Jobs UK Limited Full time

Head of Compliance Job Description

This Head of Compliance role in East Birmingham presents an opportunity to join a growing regional wealth management firm. As Head of Compliance, you will oversee the development and implementation of compliance processes to meet new and existing regulatory requirements.

Key Responsibilities:

  • Oversight of the compliance function
  • Managing and mitigating regulatory risk
  • Maintaining constructive dialogue with regulatory bodies and ensuring timely reporting
  • Designing and implementing suitable compliance processes
  • Providing guidance on regulatory matters across the business
  • Reviewing and commenting on regulatory due diligence in acquisitions
  • Ensuring Senior Management functions receive regulatory approval
  • Reviewing the fit and properness of individuals within the firm
  • Conducting client file reviews and recording management information
  • Producing an annual compliance report for senior management

Requirements

To be successful in this Head of Compliance role, you must be an experienced Senior Compliance professional within Wealth Management. You should have experience leading an in-house compliance team and be capable of holding SMF16. Our client would consider a Compliance Manager looking to step up to Head of Compliance.

Benefits

This role offers a salary of circa £60,000 - £70,000, plus a 3% and 5% pension contribution, 4x DIS, 23 days holiday, and financial support towards exams. The role is hybrid, with a need to be in Castle Bromwich frequently. You will receive excellent mentoring support from a highly accomplished team.