The Company is in search of a Head of Compliance to join their team. The successful candidate will be responsible for supporting day-to-day compliance activities, including FCA liaison, overseeing consumer duty, T&C ops, and quality assurance. This role is pivotal in maintaining the firm's solid reputation for client-centric financial planning services and ensuring a supportive culture. The Head of Compliance will not currently hold SMF16/17 functions but will be an integral part of the well-established, directly authorized financial services firm.
Applicants for the Head of Compliance position at the company should have a strong background in compliance within the financial services sector. The role requires a professional who can effectively manage and oversee compliance duties, with a focus on consumer protection and regulatory requirements. The ideal candidate will have experience in T&C ops and quality assurance, and a deep understanding of the FCA's guidelines. A commitment to the values of the firm, including a supportive and client-centric approach, is essential. The company is dedicated to creating an inclusive and diverse work environment, and the Head of Compliance will play a key role in driving conscious inclusion and creating equitable pathways within the business.
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