Head of Compliance - Wealth/Financial Advice

Merje

  • London
  • Permanent
  • Full-time
  • 21 days ago
  • Apply easily
MERJE are supporting a financial advice/wealth firm in their search for an exceptional Head of Compliance.As the company continues to go from strength to strength and have laid out some ambitious growth plans over the next few years, this is an exciting time to be a part of a dynamic and evolving business. You will be responsible for:
  • Overseeing the 2nd line compliance function.
  • Ensuring the business has effective systems, procedures and controls for compliance with requirements
  • Ensure that all Advisers and support staff are aware of any relevant guidance in the areas they operate in
  • Conducting regular reviews of the File Checkers work to ensure that it meets regulatory standards
  • Maintenance of documented and effective compliance procedures consistent with internal standards, business goals and risk appetite.
  • Ensure all financial promotions are approved in accordance with the standards set out by the FCA
  • Ensuring that the firm have in place a robust risk-based annual compliance monitoring plan,
  • Oversee and ensure that all approved persons are subject to the necessary levels of supervision outlined in the Training and Development Plan.
Key skills:
  • Ideally operated as a Head of Compliance (not necessarily as SMF16)
  • Broad based Compliance background (8-12 years) gained in a wealth/financial planning firm
  • Specific understanding/knowledge of the FCA COBS/SYSC rules.
  • Future interest to take on SMF 16 & 17 functions
  • An ability to lead and oversee an established compliance team whilst also supporting the development of staff.
  • Strong written and verbal communication skills
  • Methodical, thorough and strong attention to detail
Applicants must be located and eligible to work in the UK without sponsorship.Please note, should feedback not be received within 28 days, unfortunately your application has been unsuccessful. In applying for this role, you may be registered on our database so we can contact you about suitable opportunities in future. Your data will be managed in accordance with our Privacy Policy, which can be found on our website.

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