Head of Compliance

THE COMPANY:

Our client is a dynamic financial services firm specialising in investment management, corporate advisory, and wealth planning. It offers tailored solutions to individuals, institutions, and businesses, leveraging deep market expertise to drive growth, optimise portfolios, and navigate complex financial landscapes with strategic insight.

THE RESPONSIBILITIES:

Develops initiates, maintains, and revises policies and procedures for the compliance function of the firm

Draft an annual compliance monitoring plan and undertake the agreed activities and reporting

Actively engages in the day-to-day operations to ensure comprehensive oversight of the compliance framework, embodying a hands-on, roll-up-your-sleeves ethos.

Ensuring effective internal controls and management information systems are in place.

Work with HR to ensure the firm's overall compliance with SMCR

Provide guidance and support to other departments to ensure they understand and adhere to regulatory requirements and industry best practices.

Responsible for regulatory reporting.

Ensure appropriate management information and reports provided to the committees and boards

Assist in embedding a strong compliance culture throughout the organisation

Acts as an independent review and evaluation body to ensure that compliance breaches/issues/concerns within the organisation are being appropriately evaluated, investigated and resolved.

Develop and deliver compliance training and awareness programmes for staff

Act as a key liaison with regulatory bodies

Manage the compliance team ensuring appropriate development of their skills

Work closely with the SMF17 to ensure no gaps in the systems and controls to combat financial crime.

Responsibility for the group's market abuse controls.

EXPERIENCE REQUIRED:

SMF 16 responsibility experience or extensive experience as a deputy compliance officer in a retail/wealth management environment

Experience in actively managing a small team, providing mentoring and guidance to enhance the compliance function's performance and capabilities.

Open and transparent with excellent communication and interpersonal skill

For further information please contact Natalie Eshelby