Head of Compliance IFA
1 day ago
Location: Tamworth, Staffordshire
Salary/Rate: £55,000 - £70,000/annum; Pension DIS & CI
Key Responsibilities:
- Collaborate with the Managing Director to execute the Head of Compliance role for our client and subsidiary companies.
- Oversee compliance oversight, including responsibility for delivering the Consumer Duty plan.
- Ensure operational effectiveness of systems and controls to meet FCA requirements.
- Work with the SMF17 to oversee anti-money laundering activities, policies, and procedures.
- Investigate and report AML incidents.
- Provide guidance and support to the Board, Managers, Advisers, and Staff to maintain a strong compliance framework.
- Review and approve written material for external use.
- Lead and develop Advisers and Staff through coaching and training.
- Support the Office Manager with regulatory requirements and compliance matters.
- Manage FCA Connect and Reg Data system applications and reports.
- Handle client complaints and ensure appropriate action is taken.
Requirements:
- Effective communication at all levels.
- Attention to detail in planning and execution of tasks.
- Planning and organizing skills to prioritize tasks and resources.
- 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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