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Our client is a dynamic and forward-thinking wealth management firm, committed to delivering exceptional financial planning and investment solutions to our clients. With a strong international presence, they pride theirselves on their dedication to excellence, innovation, and compliance with all regulatory standards.
They are seeking a highly motivated and experienced Compliance Director to join their team. You will collaborate closely with their existing team to ensure that the company adheres to all relevant regulations and laws. This is an exciting opportunity to make a significant impact in a fast-paced environment while advancing your career in the wealth management industry.
Key Responsibilities:
- Oversee all compliance processes and procedures, ensuring full adherence to regulatory requirements and industry standards.
- Conduct regular audits and risk assessments to identify and mitigate compliance risks.
- Develop, implement, and maintain compliance policies and procedures.
- Provide training and guidance to staff on compliance matters, fostering a culture of accountability and awareness.
- Monitor and interpret regulatory changes, communicating updates and their implications to relevant teams.
- Act as the primary point of contact for regulatory bodies and manage relationships with external auditors.
- Maintain comprehensive records and prepare reports for senior management and regulatory authorities.
Qualifications and Experience:
- Proven experience in a compliance role within the wealth management industry.
- Previous experience in an SMF16/17 position is essential.
- In-depth knowledge of UK financial regulations, including FCA guidelines.
- Strong analytical skills with excellent attention to detail.
- Exceptional communication and interpersonal skills, with the ability to influence and collaborate across teams.
- Resilient and adaptable, thriving in a fast-paced and dynamic environment.
