Head of Compliance Advisory

- Head of Compliance Advisory

- Home Based (National Coverage)

- Strong six figure base salary

Our client, a national wealth management firm dealing, are looking for a Head of Compliance Advisory to join the team. You will lead, oversee and manage the day to day operational activities of the compliance advisory function, ensuring issues and risks of a compliance and regulatory nature are appropriately managed.

Role & Responsibilities:

• Develop a thorough understanding of the business and regulatory landscape the business operates within.
• Provide compliance advice, guidance and direction to the business on the legislative and regulatory requirements and impact of these requirements, as well as regulatory change, and ensuring application and control mechanisms are understood and consistently embedded
• Ensure there are effective compliance policies, procedures and controls in place in line with the company’s regulatory obligations and expectations, including but not limited the requirements if MiFID, GDPR, SMRC, RDR, AMLD, etc.
• Identify, monitor and where appropriate provide challenges on compliance or regulatory issues that may arise within the business.
• Manage and develop the compliance advisory team to ensure they are motivated, effective and provide excellent support to all customers both internally and externally.
• Develop a good understanding of the business, identify ways of improving upon practices with compliance to help deliver a service above basic regulatory and legislative requirements that enhance growth and success.
• Support delivery of the business acquisition strategy and ensure compliance is represented on all acquisition projects.
• Ensure that all GABRIEL returns and other regulatory reporting obligation are met on time and accurately.
• Ensure compliance risks are appropriately identified and managed effectively, providing direction on corrective measures to the compliance advisory team and business alike so that these risks remain within acceptable and agreed parameters.
• Assist in the production and presentation of compliance reports to various boards and committees within the group.

Do you have the following to apply?

• Qualified to Level 4 Diploma in Financial Planning (or equivalent)
• Senior level Compliance experience within a wealth/investment management business.

Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.