Compliance Manager/Head of Business
Our client, a financial services company based in London, is currently looking for a 'Compliance Manager' to join their team. The ideal candidate will be well-educated to degree level with 5-8 years of extensive experience in dealing with the IFA Markets. Having SMF 16/17 qualifications would also be beneficial.
Duties will include:
1. Ensuring a strong compliance culture is recognized and embedded across the company.
2. Leading the management of compliance across operations and implementing policies to meet regulatory requirements, enabling the business to respond to regulatory and legislative changes.
3. Fulfilling the statutory obligations of the 'Nominated Officer', Head of Compliance, and MLRO.
4. Holding and executing the requirements of the SMF 16 (Compliance Oversight Function) and SMF 17 (Money Laundering Reporting Function).
5. Ensuring effective systems, procedures, and controls for compliance with regulatory requirements and standards, including risk management, financial crime, governance, Anti-Money Laundering, and Data Protection.
6. Having experience working with financial advisors.
7. Possessing retail experience.
8. Reporting to the client’s boards, both operating company and Group, regarding compliance responsibilities.
9. Maintaining effective relationships with regulatory bodies.
10. Ensuring all notification and reporting requirements are met.
11. Maintaining documented and effective compliance procedures consistent with internal standards, business goals, and risk attitude.
This role requires in-office attendance at least 3 days a week.
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