Compliance Manager Lead
11 hours ago
We are partnering with a leading Financial Planners in the UK to find an experienced Regulatory Compliance Director. This is an exciting opportunity to work in a dynamic environment, ensuring regulatory adherence and fostering a culture of excellence.
About the RoleThe successful candidate will lead compliance initiatives, supervise and mentor staff, and develop the firm's Compliance Monitoring Programme. They will also oversee risk assessments for new and existing clients, including anti-money laundering evaluations and enhanced due diligence reviews.
Main Responsibilities- Leadership & Oversight: Supervise and mentor compliance staff to ensure team effectiveness and personal development.
- Strategic Compliance Management: Develop and maintain the firm's Compliance Monitoring Programme, ensuring its alignment with regulatory changes.
- Risk Management: Oversee risk assessments for new and existing clients, including AML evaluations and enhanced due diligence reviews.
- Regulatory Expertise: Keep the firm updated on FCA guidelines, ensuring compliance with relevant regulations such as TCF, SMCR, and financial crime policies.
- Complaints Handling: Manage the firm's complaints process, ensuring issues are resolved efficiently and in line with regulatory requirements.
- Audit & Reporting: Conduct internal audits, prepare compliance reports for senior management and regulators, and oversee MI reporting for internal and external purposes.
- Leadership Abilities: Proven track record of managing teams and mentoring staff, fostering a collaborative and high-performance environment.
- Regulatory Knowledge: In-depth understanding of FCA regulations, AML requirements, and financial planning products.
- Analytical Expertise: Strong problem-solving skills, with the ability to identify and mitigate risks effectively.
- Communication Skills: Excellent verbal and written communication, with the ability to present compliance updates to diverse stakeholders.
- Salary: A competitive salary package between £50-65k, depending on experience.
- Incentives: Performance-based incentives and salary increments.
- Flexible Working: Flexible working arrangements, including hybrid working (minimum two office days per week).
- Benefits: A comprehensive benefits package, including a pension scheme with 5.5% employer contributions, health and life insurance, income protection, and critical illness cover.
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