Head of Compliance Manager
Our client, a financial services company based in London, is currently looking for a Compliance Manager to join their team. You will be well-educated to degree level and have gained a wealth of experience of 5-10 years with extensive experience dealing with the
IFA Markets . You must have SMF 16/17 for this role. Duties will include: Previous SMF16/17 experience Experience working for an IFA business Retail compliance experience Consumer Duty experience Compliance monitoring experience Ensuring a strong compliance culture is recognized and embedded across the company. Leading the management of compliance across operations and implementing policy to meet regulatory requirements, enabling the business to respond to regulatory and legislative changes. Holding and executing the requirements of the SMF 16 (Compliance Oversight Function) and SMF 17 (Money Laundering Reporting Function). Responsible for ensuring the business has effective systems, procedures, and controls for compliance with requirements and standards under the regulatory system, including risk management, financial crime, governance, Anti-Money Laundering, and Data Protection. Experience working with financial advisors. Maintaining effective relationships with regulatory bodies. Ensuring all notification and reporting requirements are met. Desirable: Experience managing multiple offices in different locations. Managing compliance for acquisitions. IT knowledge/technical. Regulatory capital knowledge. Experience with FCA Change of Control Applications. Risk management. This role will require you to be in the office at least 3 days a week.
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IFA Markets . You must have SMF 16/17 for this role. Duties will include: Previous SMF16/17 experience Experience working for an IFA business Retail compliance experience Consumer Duty experience Compliance monitoring experience Ensuring a strong compliance culture is recognized and embedded across the company. Leading the management of compliance across operations and implementing policy to meet regulatory requirements, enabling the business to respond to regulatory and legislative changes. Holding and executing the requirements of the SMF 16 (Compliance Oversight Function) and SMF 17 (Money Laundering Reporting Function). Responsible for ensuring the business has effective systems, procedures, and controls for compliance with requirements and standards under the regulatory system, including risk management, financial crime, governance, Anti-Money Laundering, and Data Protection. Experience working with financial advisors. Maintaining effective relationships with regulatory bodies. Ensuring all notification and reporting requirements are met. Desirable: Experience managing multiple offices in different locations. Managing compliance for acquisitions. IT knowledge/technical. Regulatory capital knowledge. Experience with FCA Change of Control Applications. Risk management. This role will require you to be in the office at least 3 days a week.
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