Head of Compliance Manager

Head of Compliance Manager

Our client, a financial services company who are based in London are currently looking for a 'Compliance Manager to join their team. You will be well educated to degree level and have gained a wealth of experience of 5-10 years and have extensive experience with dealing the IFA Markets and you must have SMF 16/17 for this role.

Duties will include:-

• Previous SMF16/17 experience
• Experience working for an IFA business
• Retail compliance experience
• Consumer Duty experience
• Compliance monitoring experience
• To ensure that a strong compliance culture is recognised and Embedded across the Company.
• To lead the management of compliance across the operations and implement policy to meet regulatory requirements enabling the business to respond to regulatory and legislative changes.
• To hold and execute the requirements of the SMF 16 (Compliance Oversight Function) and SMF 17 (Money Laundering Reporting Function).
• Responsible for ensuring business has effective systems, procedures and controls for compliance with requirements and standards under the regulatory system, including risk management, financial crime, governance, Anti-Money Laundering and Data Protection
• Need to have worked with financial advisors
• Maintaining effective relationship with regulatory bodies.
• Ensuring all notification and reporting requirements are met.

Desirable

• Experience managing multiple offices in different locations
• Managing compliance for acquisitions
• IT knowledge/technical.
• Regulatory capital knowledge
• Experience with FCA Change of Control Applications
• Risk management

This role, will be required to go in their offices at least 3 days a week.