Job Title: Part-Time Head of Compliance
Location: Berkshire (Hybrid)
Working Pattern: 3 Days a Week (Flexible Schedule)
About the Company: An independent IFA
The Role:
As the Head of Compliance, you will play a crucial role in ensuring the firm operates in line with regulatory standards while fostering a strong compliance culture. Reporting directly to the Managing Director, you will lead the compliance function, including oversight of a small team, which includes two experienced file checkers.
This role is ideal for a compliance professional looking for flexibility, as you can structure your 3 days a week to suit your requirements.
Key Responsibilities:
* Oversee the compliance framework, ensuring all processes and policies meet FCA requirements.
* Provide leadership and support to the compliance team, including mentoring two file checkers.
* Take on SMF16 and SMF17 responsibilities, either immediately or in the future.
* Conduct regular audits and reviews to ensure the suitability of advice and adherence to best practices.
* Collaborate with the MD to promote a culture of compliance and continuous improvement.
* Stay up-to-date with regulatory changes and implement necessary updates to policies and procedures.
What We’re Looking For:
* Experience: Strong background in compliance within the Financial Planning / IFA sector.
* Qualifications: Level 4 Diploma in Financial Planning (or equivalent) is desirable.
* Leadership Skills: Proven ability to lead and develop a team.
* Regulatory Knowledge: In-depth understanding of FCA regulations and their practical application within financial planning.
* Flexibility: A professional who values autonomy and can manage their time effectively in a part-time role.