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Head of Compliance

Heat Recruitment
Posted a day ago, valid for a month
Location

Stafford, Staffordshire ST18 0NB, England

Salary

£45,000 - £54,000 per annum

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Contract type

Full Time

In order to submit this application, a Reed account will be created for you. As such, in addition to applying for this job, you will be signed up to all Reed’s services as part of the process. By submitting this application, you agree to Reed’s Terms and Conditions and acknowledge that your personal data will be transferred to Reed and processed by them in accordance with their Privacy Policy.

Sonic Summary

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  • Our client, a well-established IFA with a strong national presence, is seeking a Head of Compliance to lead their compliance efforts for a team of advisors.
  • The ideal candidate should have a background in compliance, with experience managing compliance documentation and overseeing regulatory returns.
  • A minimum of several years of relevant experience is required, although junior candidates with experience in regulatory returns may also be considered.
  • The position offers a competitive salary of up to £70,000, along with benefits including pension and critical illness cover.
  • This role provides a flexible work arrangement with the possibility of 2-3 days per week of hybrid working.

Our client is a long-established, owner-run IFA with a strong national presence and a decade of consistent growth. They pride themselves on maintaining the highest standards of compliance and are seeking a skilled Head of Compliance to lead their compliance efforts for a team of advisors.

Position Overview:The Head of Compliance will play a crucial role in ensuring the firm adheres to all regulatory requirements and maintains exceptional compliance standards. This position requires a leader who can effectively manage compliance documentation, oversee regulatory returns, and support the firm’s advisors in navigating compliance challenges.

Key Responsibilities:

  • Oversee compliance for a team of advisors, ensuring adherence to regulatory standards.
  • Manage compliance documentation, including RMAR oversight, to uphold the firm’s integrity.
  • Review Professional Indemnity (PI) insurance letters, ensuring adequate coverage and compliance.
  • Maintain high standards for regulatory returns, ensuring timely and accurate submissions.

Ideal Candidate Profile:

  • Strong interpersonal skills with the ability to build relationships and connect with advisors.
  • An IFA background is preferred; however, candidates from a restricted background may also be considered.
  • Junior candidates with relevant experience in regulatory returns are welcome to apply.
  • Qualifications should be as robust as possible, reflecting a commitment to compliance excellence.

Work Environment:

  • Join a supportive and well-respected firm with a rich history in the industry.
  • Flexible work arrangement with the possibility of 2-3 days per week hybrid working arrangement

Compensation Package:

  • Competitive salary up to £70,000.
  • Benefits include pension, death in service, and critical illness cover.

Please apply with an up to date copy of your CV today if this role is of interest to you

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In order to submit this application, a Reed account will be created for you. As such, in addition to applying for this job, you will be signed up to all Reed’s services as part of the process. By submitting this application, you agree to Reed’s Terms and Conditions and acknowledge that your personal data will be transferred to Reed and processed by them in accordance with their Privacy Policy.