Interim Head of Compliance - Wealth

MERJE is currently working exclusively with a well known financial planning and wealth management business in their search for a Interim Head of Compliance & Risk. The role holder will hold the SMF16 & 17 for the business. Manage the Compliance team and co-ordinate regular management information Ensure full compliance with the FCA s Consumer Duty by embedding consumer-focused governance across all levels Keep up to date with developments that may affect the compliance and risk of the group Advise senior management in a timely manner of FCA related and other regulatory issues and any changes to the FCA rules. Produce an annual compliance report for senior management. Ensure the business has adopted a risk-based approach to compliance monitoring. Review the activities of the firm on an on-going basis to ensure they are undertaken adequately and meet all relevant requirements. Ensure that any financial promotions are approved in accordance with FCA rules. Key Requirements: Operated as an SM16 within a wealth or financial planning environment Strong team leadership skills Excellent understanding of regulatory requirements, industry best practices and emerging risks relevant to the wealth management sector Good knowledge of policies, controls and monitoring required to enable positive consumer outcomes Effective communication skills to advise stakeholders across all levels Proactive, self-supportive, and motivated in fostering a positive compliance culture