Head of Compliance

  • Location


  • Discipline:


  • Job type:


  • Salary:

    £70,000 + Bonus + Benefits

  • Consultant:


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  • Published:

    over 1 year ago

I am working with a really exciting new business who are at the start of their journey and are looking for a Head of Compliance to build on the Compliance culture across the business.

Key responsibilities include:

  • Manage the relationship between the business and the Regulators including; FCA, ICO, HMRC and any others as applicable. This includes applying for permission, providing MI (specifically GABRIEL reporting) and managing correspondence.
  • Be approved as Money Laundering Reporting Officer and provide training to ensure team are aware of responsibilities.
  • Create and undertake the Compliance Monitoring Plan
  • Maintain records of risks, breaches, issues and report on trends
  • Produce and maintain all business policies, and ensure they are all implemented throughout the business
  • Conduct due diligence on third parties, including reviewing and agreeing to all agreements and contracts 
  • Ensure all financial promotions are compliant and adequately recorded, including social posts, OOH, blogs and videos
  • Ensure all relevant staff have training, both at induction and annually, at minimum, on: data protection, complaints, financial crime, treating customers fairly, whistleblowing and other regulatory areas
  • Ensure all approved persons are fit and proper
  • Own the Training and Competence process for the business, including ensuring all records are maintained, SPSs are up-to-date and non-advising staff are competent for the role they undertake
  • Ensure the business maintains professional indemnity insurance
  • Work with the business on all projects, both current and upcoming, to ensure the plans are compliant and treat customers fairly
  • Ensure all areas of the business are acting legally, including recruitment, employee management, insurance, finance, etc.

The Person:

  • Minimum Level 4 qualified and ideally working towards Chartered status
  • Strong background in Compliance, especially in the Wealth Management space
  • Ability to work at a fast pace and be self-motivated

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.