Head of Compliance National IFA
Location: Tamworth, Staffordshire
Salary/Rate: £55,000 - £70,000/annum; Pension DIS & CI
Guide to main activities:
1. Working with the Managing Director SMF16 to perform the Head of Compliance role for our client and subsidiary companies.
2. Management of Compliance oversight including responsibility for delivering the companies Consumer Duty plan.
3. Oversee the operational effectiveness of the company’s systems and controls that are designed to achieve compliance with FCA requirements, working to ensure to ensure all controls are in place to meet regulatory requirements.
4. Working with the SMF17, to oversee the company’s anti-money laundering activities, policies, and procedures.
5. Responsible for day-to-day AML investigation and reporting.
6. Provide support, guidance and advice to the Board, Managers, Advisers, and Staff to support and facilitate a strong compliance framework and culture.
7. Review and have signed off, in line with compliance procedures, all written material for external use such as newsletters, advertising and marketing brochures.
8. Lead, manage, motivate, and develop the Advisers and Staff, by coaching and training to ensure performance standards are maintained. Lead and operate the companies T&C Scheme and take part as Supervisor to section of the Advisers (they have two additional Superviso...