My client is looking for an experienced Head of Compliance to ensure the company adheres to legal standards and in-house policies. You will be responsible for enforcing regulations in all aspects and levels of business as well as provide guidance on compliance matters.

The role will involve:

• Keep up to date with, and understand, relevant laws and regulations
• Monitor compliance with laws, regulations and internal policies
• Ensure that your findings are recorded and followed up with management so that issues can be rectified
• Educate employees on not only the regulations but also the impact to the organisation if these are not complied with
• Investigate irregularities and non-compliance issues
• Report back to business functions on current risk and compliance performance
• Contribute to robust and effective compliance controls within the organisation
• Review marketing materials, presentations and websites to ensure compliance with regulatory requirements
• Conduct annual staff training – Financial Crime / Anti Money Laundering etc
• Maintain T&C records for all Advisers
• Conduct regular T&C 121 meetings with Advisers

Key Requirements:

•  Have experience of pre-approval authorisations
• AF3 or equivalent pensions qualification desirable
• Must have experience of liaising with the FCA