Deputy Head of Compliance

Deputy Head of Compliance

Financial Services

Basildon

£50k

This role is being brought in, to Manage the Compliance Development team, to ensure all AR Firms continue to meet the required competency and business operating standards. This element of the role is about ensuring the team support all AR firms to operate within the network systems and controls, holding them to account for staying compliant in all business dealings with end customers.

This includes responsibility for providing direct support to the recruitment and induction processes in delivery, along with cooperation with any audit/investigation activities.

As deputy manager you will also be accountable for all first line supervisory activity of the Network and represent the business function internally and externally in the absence of the Head of Compliance Operations.

Key responsibilities:

• Deliver agreed performance targets
• Support for team members’ development and wellbeing
• Provide support to: Recruitment Team, Induction delivery, Audit investigations and targeted support for member firms as required
• Maximise retention of AR network members

· Network Oversight (as Deputy)

• Management Information (as Deputy)
• Provider Relationship Management (as Deputy)
• Compliance Operations Team Management (as Deputy)

These are the primary responsibilities of the role, on which the individual will be assessed and their performance measured. From time to time, you may be asked to undertake other activities to support the team/company overall. These will be defined by your line manager and the expected period/duration confirmed.

These responsibilities may be varied and/or expanded in line with business need in the future. This will be communicated in advance of any changes.

For an extensive job specification, please get in contact today