Compliance Director

2 months ago

Tamworth, Staffordshire, United Kingdom GET STAFFED ONLINE RECRUITMENT LIMITED Full time
Head of Compliance Opportunity

We are seeking an experienced Head of Compliance to join our team at GET STAFFED ONLINE RECRUITMENT LIMITED. As a key member of our organization, you will be responsible for ensuring our company's compliance with regulatory requirements and maintaining a strong compliance framework.

Key Responsibilities:
  • Work closely with the Managing Director to perform the Head of Compliance role for our client and subsidiary companies.
  • Manage compliance oversight, including responsibility for delivering the company's Consumer Duty plan.
  • Oversee the operational effectiveness of our systems and controls to ensure compliance with FCA requirements.
  • Collaborate with the SMF17 to oversee anti-money laundering activities, policies, and procedures.
  • Investigate and report on AML matters.
  • Provide guidance and support to the Board, Managers, Advisers, and Staff to maintain a strong compliance culture.
  • Review and approve written materials for external use, such as newsletters and marketing brochures.
  • Lead, manage, and develop Advisers and Staff to ensure performance standards are met.
  • Support the Office Manager in providing guidance on regulatory requirements and interpreting issues.
  • Have a good working knowledge of FCA Connect and Reg Data system, responsible for completion and submission of applications and reports.
  • Deal with clients' complaints and take appropriate action.
Requirements:
  • Senior Compliance experience within an IFA firm.
  • Effective communication and attention to detail.
  • Planning and organizing skills.
  • Experience within the Financial Services Industry.
  • Report writing skills.
  • Knowledge of financial products.
  • Several years' experience in a Senior IFA Compliance role.

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