Head of Compliance
Posted 2 days ago
- Birmingham, West Midlands
- Any
- External
- Expires In 3 months
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 businesss 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
Liability and Disclaimer
Whilst Premier Jobs UK uses all reasonable efforts to ensure the information contained in our adverts including any salary, benefits or on target earnings are accurate, we give no representation or warranty in respect of such information. No liability is accepted by Premier Jobs UK for any loss or damage which may arise out of any person relying on or using any information
TPBN1_UKTJ
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 businesss 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
Liability and Disclaimer
Whilst Premier Jobs UK uses all reasonable efforts to ensure the information contained in our adverts including any salary, benefits or on target earnings are accurate, we give no representation or warranty in respect of such information. No liability is accepted by Premier Jobs UK for any loss or damage which may arise out of any person relying on or using any information
TPBN1_UKTJ