Head of Regulatory Affairs

3 weeks ago


London, Greater London, United Kingdom Incisive Ltd Full time
Job Summary

We are seeking a Head of Regulatory Affairs to join our team at Incisive Ltd, a leading financial services company in London.

The successful candidate will have a strong background in regulatory affairs and compliance, with a minimum of 5-8 years of experience. They should have extensive knowledge of dealing with IFA markets and be familiar with SMF 16/17.

Key Accountabilities
  • To develop and implement regulatory strategies to ensure compliance with changing regulations.
  • To lead the management of compliance operations and implement policies to meet regulatory requirements.
  • To oversee the statutory obligations of the 'Nominated Officer', Head of Compliance and MLRO.
  • To hold and execute the requirements of the SMF 16 (Compliance Oversight Function) and SMF 17 (Money Laundering Reporting Function).
  • To ensure effective systems, procedures, and controls for compliance with regulatory requirements and standards.
  • To have worked with financial advisors and have retail experience.
  • To report to the client's boards, both operating company and Group, on compliance responsibilities.
  • To maintain effective relationships with regulatory bodies.
  • To ensure all notification and reporting requirements are met.

This role requires excellent communication and interpersonal skills.

The salary for this position is estimated to be around £60,000 - £80,000 per annum, depending on experience.



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