Head of Regulatory Affairs
2 days ago
We are seeking a highly experienced Head of Regulatory Affairs to join our client, a leading financial planning and wealth management business. The ideal candidate will have extensive knowledge of regulatory requirements and industry best practices.
The successful candidate will be responsible for managing the Compliance team and coordinating regular management information. They will also ensure full compliance with the FCA's Consumer Duty by embedding consumer-focused governance across all levels.
Key Responsibilities:
- Manage the Compliance team and coordinate regular management information
- Ensure full compliance with the FCA's Consumer Duty
- Keep up-to-date with developments that may affect the compliance and risk of the group
- Advise senior management in a timely manner of FCA-related and other regulatory issues
- Produce an annual compliance report for senior management
- Ensure the business has adopted a risk-based approach to compliance monitoring
- Review the activities of the firm on an ongoing basis to ensure they are undertaken adequately and meet all relevant requirements
- Ensure that any financial promotions are approved in accordance with FCA rules
Requirements:
- Operated as an SM16 within a wealth or financial planning environment
- Strong team leadership skills
- Excellent understanding of regulatory requirements, industry best practices, and emerging risks
- Good knowledge of policies, controls, and monitoring required to enable positive consumer outcomes
- Effective communication skills to advise stakeholders across all levels
- Proactive, self-supportive, and motivated in fostering a positive compliance culture
Salary: £85,000 - £105,000 per annum, depending on experience. This is a permanent contract with excellent benefits, including pension scheme, life assurance, and professional development opportunities.
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