Head of Compliance
Our client is an entrepreneurial financial services organisation based in the Midlands which is currently experiencing a period of rapid growth and has recently received significant investment to facilitate additional development. Consequently we have been retained to recruit a Head of Compliance to hold the CF10 and CF11 function.
In this home-based or office-based role the Head of Compliance role will act as the key point of contact for AML and all compliance issues including responsibility for the following:
- The provision of all regulatory advice and guidance to the business, leading and supporting regular visits to the FCA.
- The creation and process of submitting Regulatory Returns.
- The overall control functions in the business.
- Developing and managing the business's internal compliance monitoring program.
- Conducting independent reviews to evaluate control weaknesses identified in compliance activities.
- Establishing and maintaining AML policies and procedures.
- Delivering effective reporting to the board and provision of compliance & internal control training to staff.
- Assessment of the impact of future regulation on the business and working with teams to implement changes.
- Review and implementation of compliance programs.
Our client is keen to attract an experienced Compliance professional capable of taking on the CF10 and CF11 function with previous experience in a Wealth Management/Asset Management or IFA environment.
Knowledge of MiFID, FATCA and CRS is also crucial. Gravitas, credibility, an analytical mind and problem-solving skills are essential to success in this role.
This is an outstanding opportunity to join a fantastic business during an exciting time of development and growth. A home-based contract is feasible and significant flexibility is also an option.
Please apply for immediate consideration or call Liz Gilliver on .