Newcastle upon Tyne
£125000 - £160000
7 months ago
Long established and entrepreneurially led, my client is one of the UK’s most innovative financial services group and a significant player in the UK’s wealth management industry.
They are currently looking to appoint an individual who will report directly into the board and take on responsibility for SMF16 & SMF17.
- Formulate, execute and document the company’s compliance strategy based on government legislation and the FCA's rules and guidance.
- Provide definitive advice on the compliance requirements in relation to strategic business developments within the firm.
- Manage the implementation and maintenance of compliance policy and the establishment and maintenance of adequate in-house systems, controls and compliance procedures, ensuring compliance with all regulatory requirements. In particular, design and implement the compliance system and procedures appropriate for
- Acting as custodian; and
- Acting as a CASS medium firm
- Oversee the firm’s Compliance Monitoring Programme. Take responsibility for all compliance systems and controls operated by the group, including Anti Money Laundering.
- Provide technical advice or guidance on compliance matters, within the firm and to the firm’s clients.
- Ensure that sufficient resources are deployed on compliance matters, manage the development of staff engaged in compliance activities in terms of qualifications and experience.
- Run a proportionate and effective Risk Management Framework across the firm
- Manage the relationship with the regulator, including all reporting requirements, communication and visits.
- Demonstrable Compliance experience in a senior management role, and will have obtained / undertaken and approved persons role in an Investment Management or Platform Company, or are employed in a relevant Senior Position at the FCA
- Excellent knowledge of regulatory process and requirements.
- Thorough understanding of investment and financial planning principles, processes and products
- Confident and comfortable communicating with teams and individuals across all hierarchical levels
- Motivates / inspires the team and its members to perform and add value to the team and the firm
- Experience of compliance in the following would be an advantage:
- custodian firm
- Custodian firm
Salary is entirely commensurate with experience and will reflect the significance of the role. For the right candidate, the client is also open to considering support towards relocation or travel / accommodation costs if required.
MERJE have been appointed exclusively on this role. Any speculative CV’s sent directly to the client will be forwarded through to MERJE for evaluation and consideration.