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Compliance Director – Wealth Management

  • Location

    England

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £120,000 - £130,000 & Plus Package

  • Consultant:

    #

  • Email:

    emanson@merje.com

  • Job ref:

    EM/16736

  • Published:

    4 months ago

Client

MERJE are working exclusively with a highly prestigious Wealth Management organisation in their search for a Compliance Director. You will be responsible for ensuring that the company has effective and well documented regulatory compliance arrangements in place to meet FCA requirements as well as providing oversight for the Training and Competence Scheme.

Responsibilities:

  • Ensure that the company has a fit-for-purpose set of compliance arrangements which is clearly documented, including in a Compliance Manual, and in policies and guidance documents, and that these are well communicated, rolled out, trained in and embedded across the business.
  • Maintain effective working relationships with the FCA, including working with the business to ensure that the company provides a thorough, accurate and timely response to FCA requests.  
  • Lead and direct the Compliance and T&C supervision teams ensuring that activities and resourcing are aligned to the needs of the business and the demands of the regulatory environment.
  • Oversee the completion and timely submission of regulatory forms and returns to the FCA and ensure that appropriate responses are made to FCA requests.
  • Lead and direct the technical compliance advice and policy team, ensuring the quality and timeliness of advice and guidance provided and further developing the policy suite.
  • Proactively identifying and evaluating emerging regulatory developments and trends, new rules and requirements and market practices and ensuring that their relevance and impact on the business is fully accessed and communicated and that appropriate preparations are made by the business.

Requirements:

  • A strong and capable leader who is able develop teams whilst providing clear direction and guidance
  • 10 + years of relevant broad based Compliance/Regulatory experience within the Wealth Management/Financial Planning or Retail Investment Management space
  • Deep knowledge of FCA regulatory requirements and of FCA’s expectations of regulated firms
  • Strong stakeholder management skills

Committed to continually developing technical expertise