Head of Compliance
4 weeks ago
This is a unique chance to lead the compliance function at a growing regional wealth management firm in East Birmingham. As Head of Compliance, you will be responsible for developing and implementing compliance processes to ensure the firm meets regulatory requirements.
Key Responsibilities- Oversight of the compliance function to ensure effective risk management and regulatory compliance.
- Managing and mitigating regulatory risk through proactive monitoring and reporting.
- Maintaining constructive dialogue with regulatory bodies, including the FCA, to ensure timely and accurate reporting.
- Designing and implementing suitable compliance processes to support business growth.
- Providing guidance and advice on regulatory and compliance matters across the business.
- Reviewing and commenting on regulatory due diligence in respect of acquisitions.
- Ensuring individuals performing Senior Management functions receive regulatory approval.
- Reviewing the fit and properness of all individuals within the firm on an annual basis.
- Ensuring client file reviews are undertaken and recorded as part of the business's management information.
- Producing an annual compliance report for senior management.
- Experience as a Senior Compliance professional within Wealth Management, such as Head of Compliance or Compliance Director.
- Ability to hold SMF16.
- Experience of leading an in-house compliance team.
- Our client would consider a Compliance Manager looking to step up to Head of Compliance.
- Salary of circa £60,000 - £70,000.
- Plus, 3% & 5% pension contribution, 4x DIS, 23 days holiday plus bank holidays and your birthday off and financial support towards exams.
- Hybrid role, with need to be in their Castle Bromwich frequently.
- Excellent mentoring support from highly accomplished team.
East Birmingham
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