Head of Compliance

3 days left

Negotiable salary depending on experience
30 Aug 2017
27 Sep 2017
Contract Type
On Target Earnings

Our client is an entrepreneurial financial services organisation based in the Berkshire which is currently experiencing a period of rapid growth. We have been retained to recruit a Head of Compliance to hold the CF10 and CF11 function.

In this role, the Head of Compliance role will act as the key point of contact for all compliance issues including responsibility for the following:

  • The provision of all regulatory advice and guidance to the business, leading and supporting regular visits to the FCA.
  • The creation and process of submitting Regulatory Returns.
  • The overall control functions in the business.
  • Developing and managing the business's internal compliance monitoring program.
  • Conducting independent reviews to evaluate control weaknesses identified in compliance activities.
  • Delivering effective reporting to the board and provision of compliance and internal control training to staff.
  • Assessment of the impact of future regulation on the business and working with teams to implement changes.
  • Review and implementation of compliance programs.

Our client is keen to attract an experienced Compliance professional capable of taking on the CF10 and CF11 function with previous experience in a Wealth Management/Asset Management or IFA environment.

Knowledge of MiFID, FATCA and CRS is also crucial. Gravitas, credibility, an analytical mind and problem-solving skills are essential to success in this role.

This is an outstanding opportunity to join a fantastic business during an exciting time of development and growth.

Apply online today or contact: Advance Search & Selection Ltd

This is only one of many vacancies we are handling. Advance Search & Selection Ltd is a specialist within Financial Services and Pensions recruitment. Areas of expertise include IFA, Advisers, Employee Benefits, Compliance, Pensions, Group Risk, Paraplanners, Sales Support, T&C etc.

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