Non Executive Director- Compliance
My client is a highly reputable financial planning practice that prides themselves on the personal touch that they provide their clients. They provide tailored financial advice on a range of financial products.
We are currently recruiting for a Non-Executive Compliance Director on behalf of a firm based in Warwick. They are looking for an individual to work 6 days per month (of which one day per month to report to the board). You will be given the chance to work closely with the firms IFA's as well as overseeing and improving the firm's approach to compliance.
What's needed for me to be considered?
- Strong experience in an IFA firm
- Level 4 diploma qualified as a minimum
- Recent and relevant experience of compliance and regulatory standards within a directly regulated IFA
- Level 4 Diploma qualified or regulatory equivalent qualifications
- Excellent communication skills both verbal and written
- Understanding the environment of a small/medium sized IFA practice
- Keeping abreast of regulatory legislation and changes
- Implementation, oversight and delivery of compliance and regulatory returns
- Implementation, oversight and delivery of compliance and regulatory processes
- Liaison with key staff to ensure compliance processes are followed and adhered to within company policy and protocol
- Producing monthly compliance and regulatory reports to the board (and progress reporting)
- Ensuring processes, procedures that are currently in place are compliant and suggest improvements as needed
- Line managing current Compliance Administrator
Apply today to be considered for this opportunity. If suitable, one of our specialist consultants will be in contact to discuss the opportunity with you in detail prior to submitting your CV to the client. In this discussion we will aim to identify your specific skills and motivations, and where appropriate recommend other relevant opportunities to you that match your requirements.
Additionally, refer a friend or colleague to us and receive GBP200 in vouchers if we assist them in securing a new career.
Compliance Officer, Compliance Manager, T&C