Head of compliance

Our client is a long-established, owner-run IFA with a strong national presence and a decade of consistent growth. They pride themselves on maintaining the highest standards of compliance and are seeking a skilled Head of Compliance to lead their compliance efforts for a team of advisors.

Position Overview:The Head of Compliance will play a crucial role in ensuring the firm adheres to all regulatory requirements and maintains exceptional compliance standards. This position requires a leader who can effectively manage compliance documentation, oversee regulatory returns, and support the firm’s advisors in navigating compliance challenges.

Key Responsibilities:

* Oversee compliance for a team of advisors, ensuring adherence to regulatory standards.
* Manage compliance documentation, including RMAR oversight, to uphold the firm’s integrity.
* Review Professional Indemnity (PI) insurance letters, ensuring adequate coverage and compliance.
* Maintain high standards for regulatory returns, ensuring timely and accurate submissions.

Ideal Candidate Profile:

1. Strong interpersonal skills with the ability to build relationships and connect with advisors.
2. An IFA background is preferred; however, candidates from a restricted background may also be considered.
3. Junior candidates with relevant experience in regulatory returns are welcome to apply.