Compliance Director

20 hours ago


Staffordshire, United Kingdom Heat Recruitment Full time £70,000

Compliance Expertise

At Heat Recruitment, we're seeking a seasoned Head of Compliance to spearhead our client's regulatory efforts. With a strong track record of ensuring compliance excellence, you'll be responsible for managing compliance documentation, overseeing regulatory returns, and guiding our advisors in navigating compliance challenges. Your expertise will be invaluable in maintaining our client's reputation for integrity and adherence to regulatory standards.

Key Responsibilities

  • Oversee compliance for a team of advisors, guaranteeing adherence to regulatory standards.
  • Manage compliance documentation, including RMAR oversight, to uphold the firm's integrity.
  • Review Professional Indemnity (PI) insurance letters, ensuring adequate coverage and compliance.
  • Maintain high standards for regulatory returns, ensuring timely and accurate submissions.

Requirements

  • Strong interpersonal skills with the ability to build relationships and connect with advisors.
  • An IFA background is preferred, but candidates from a restricted background may also be considered.
  • Junior candidates with relevant experience in regulatory returns are welcome to apply.
  • Qualifications should be as robust as possible, reflecting a commitment to compliance excellence.

What We Offer

  • A competitive salary up to £70,000.
  • Benefits include pension, death in service, and critical illness cover.

Please apply with an up-to-date copy of your CV today if this role aligns with your career aspirations.



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