Head of Compliance

1 week ago

Birmingham, United Kingdom Elevation Wealth Management Ltd Full time

Elevation Wealth Management are a growing business, offering financial planning services that deliver integrated and specialist financial advice for corporate and private individuals. As we continue to expand the group we are seeking a Head of Compliance to oversee the development and implementation of procedures, working with key internal stakeholders to ensure the business upholds current FCA regulations and ensure that we have the necessary resources to research and track external laws, regulations, and industry standards.

**Core responsibilities will include**:

- Establish and maintain a constructive and open dialogue with the FCA and any other appropriate authorities and to ensure that any regulatory reports or enquiries are handled appropriately and promptly.
- Design and implementation of suitable compliance arrangements in accordance with FCA regulations
- Management of regulatory risk, providing guidance and advice on regulatory matters across the business.
- Oversee the review and development of existing products and services.
- Engage with business departments, using a degree of pragmatic collaboration to find compliant solutions to business problems.
- Review the findings from regulatory due diligence and make recommendations to the Board in respect of any potential future acquisitions
- Reporting to the COO and Founder on compliance across the group, escalating, addressing, and documenting any concerns
- Where necessary, overseeing remedial action as a consequence of regulatory risk
- Overseeing regular auditing to ensure compliance with FCA regulations
- Interpret regulatory requirements and implement practical, compliant solutions
- Ensuring findings from client file reviews are recorded as part of the business’s management information and reacted to by senior management, where necessary
- Provide advice and guidance on all aspects of compliance including, file reviews, TCF gap analysis and implementation, financial promotion approval, recruitment guidance and implementation of T&C scheme.
- Make all appropriate notifications and complete reports as required by the FCA, and any other information relating to the firm of which the Regulator would reasonably expect notice. For example: (RegData, Attestation of firm details, AR and IAR reporting, Consumer Duty reporting)

**Job Types**: Full-time, Part-time, Permanent

Pay: £40,000.00-£60,000.00 per year

Additional pay:

- Yearly bonus

**Benefits**:

- Company pension
- Free parking
- Life insurance
- On-site parking

Schedule:

- Monday to Friday
- No weekends

Work Location: In person

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