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This Head of Compliance job in East Birmingham provides opportunity to join a growing, regional wealth management firm. As Head of Compliance, you will be overseeing the development and implementation of their compliance processes to continue to meet new and existing regulatory requirements
As Head of Compliance, you will hold SMF16 for the firm and report to the FCA. Therefore, you must be capable of holding this permission.
Duties will also include:
- Oversight of the compliance function
- Managing and mitigating regulatory risk
- Maintain constructive and positive dialogue with the FCA and ensure regulatory reports are handled appropriately and promptly
- Design and implement suitable compliance processes
- Provide guidance and advice on regulatory and compliance matters across the business
- Have a pragmatic approach to find compliant solutions to business problems
- Review and provide commentary on regulatory due diligence in respect of acquisitions
- Ensure individuals performing Senior Management functions receive regulatory approval
- Ensure the fit and properness of all individuals within the firm are reviewed on an annual basis
- Ensure client file reviews are undertaken and recorded as part of the business’s management information
- Produce an annual compliance report for senior management
- Plus other related compliance duties
Head of Compliance Requirements
- You must be an experienced Senior Compliance professional within Wealth Management, such as Head of Compliance, Compliance Director
- You must be capable of holding SMF16
- You should have experience of leading an in-house compliance team
- Our client would consider a Compliance Manager looking to step up to Head of Compliance
Head of Compliance Benefits
- Salary of circa £60,000 - £70,000
- Plus, 3% & 5% pension contribution, 4x DIS, 23 days holiday plus bank holidays and your birthday off and financial support towards exams
- Hybrid role, with need to be in their Castle Bromwich frequently
- Excellent mentoring support from highly accomplished team
Locations
East Birmingham
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