We are working with a niche Wealth Planning business looking to hire their first Head of Compliance. This will be a hands-on and varied role, advising the business on a daily basis.
Candidates will have previously held SMF 16 & 17.
This is expected to be 2.5-3 days a week, ideally in-person at their offices. Salary on the advert will be pro-rated for the number of days worked.
Main Responsibilities:
- Responsibility for the compliance function of the UK business.
- Complete FCA regulatory filings
- Manage the Compliance Monitoring Programme.
- Support new business initiatives and projects that may have a compliance aspect
- Interpreting and disseminating information to management and staff about regulatory changes.
- Review and draft internal policies and procedures.
- Liaising with the FCA and other relevant bodies.
Unless otherwise stated, candidates must have the right to work in the UK.
The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.
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