Head of Compliance

3 weeks ago

Birmingham, United Kingdom Clayton Davies Full time

We are working exclusively with a successful Investment Management firm who are looking for a Head of Compliance (SMF16/17) to report directly into the board. The role holder will be responsible for the independent oversight and management of the Compliance function across the business.


Key Responsibilities:


  • Effectively communicating and building relationships with the regulator, trustee and custodian;
  • Providing advice to the firm regarding the conformity of its business activities in relation to regulatory requirements and best practice;
  • Establishing, implementing and maintaining policies and procedures sufficient to support the firm’s compliance with its regulatory obligations
  • The ongoing assessment and reporting of the adequacy and effectiveness of the controls in place to comply with regulatory obligations, and to address any identified deficiencies;
  • Identifying, assessing and presenting on regulatory change to the Executive Committee and the Board;
  • Investigating, managing and conducting root cause analysis on complaints;
  • Maintaining a record of and monitoring breaches, errors and incidents;
  • Reporting material and emerging regulatory risks or issues to the Board;
  • Providing management information on compliance related matters to the Board, including an annual report on conflicts of interest and product governance;
  • Actively seeking sufficient resources to discharge the firm’s responsibilities under the regulatory system;
  • Regularly reporting to the regulator using the systems and formats provided, including in relation to the Conduct Rules; and
  • Providing compliance related training, including in relation to the Conduct Rules; and
  • Ensuring the firm and its Directors have access to and receive professional compliance advice when required.


Experience Required:


  • Senior level Compliance experience within a Wealth/Investment business
  • Previously holding SMF16 would be beneficial
  • Direct experience liaising with the FCA

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