About Us:
Hoxton Wealth is a dynamic and forward-thinking wealth management firm, committed to delivering exceptional financial planning and investment solutions to our clients. With a strong international presence, we pride ourselves on our dedication to excellence, innovation, and compliance with all regulatory standards.
The Role:
We are seeking a highly motivated and experienced
Compliance Director
to join our UK team. In this pivotal role, you will collaborate closely with our existing team to ensure that Hoxton Wealth adheres to all relevant regulations and laws. This is an exciting opportunity to make a significant impact in a fast-paced environment while advancing your career in the wealth management industry. Key Responsibilities: Oversee all compliance processes and procedures, ensuring full adherence to regulatory requirements and industry standards. Conduct regular audits and risk assessments to identify and mitigate compliance risks. Develop, implement, and maintain compliance policies and procedures. Provide training and guidance to staff on compliance matters, fostering a culture of accountability and awareness. Monitor and interpret regulatory changes, communicating updates and their implications to relevant teams. Act as the primary point of contact for regulatory bodies and manage relationships with external auditors. Maintain comprehensive records and prepare reports for senior management and regulatory authorities. Qualifications and Experience: Proven experience in a compliance role within the wealth management industry. Previous experience in
SMF 16/17
positions is essential. In-depth knowledge of UK financial regulations, including FCA guidelines. Strong analytical skills with excellent attention to detail. Exceptional communication and interpersonal skills, with the ability to influence and collaborate across teams. Resilient and adaptable, thriving in a fast-paced and dynamic environment. What We Offer: A competitive salary and benefits package. Opportunities for professional growth and development. A supportive and collaborative work environment. The chance to play a critical role in shaping the compliance framework of a leading wealth management firm. If you are a driven and resilient compliance professional with a background in wealth management and experience in SMF 16/17 roles, we would love to hear from you. Please send your CV and a cover letter detailing your experience and suitability for the role to us.
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Compliance Director
to join our UK team. In this pivotal role, you will collaborate closely with our existing team to ensure that Hoxton Wealth adheres to all relevant regulations and laws. This is an exciting opportunity to make a significant impact in a fast-paced environment while advancing your career in the wealth management industry. Key Responsibilities: Oversee all compliance processes and procedures, ensuring full adherence to regulatory requirements and industry standards. Conduct regular audits and risk assessments to identify and mitigate compliance risks. Develop, implement, and maintain compliance policies and procedures. Provide training and guidance to staff on compliance matters, fostering a culture of accountability and awareness. Monitor and interpret regulatory changes, communicating updates and their implications to relevant teams. Act as the primary point of contact for regulatory bodies and manage relationships with external auditors. Maintain comprehensive records and prepare reports for senior management and regulatory authorities. Qualifications and Experience: Proven experience in a compliance role within the wealth management industry. Previous experience in
SMF 16/17
positions is essential. In-depth knowledge of UK financial regulations, including FCA guidelines. Strong analytical skills with excellent attention to detail. Exceptional communication and interpersonal skills, with the ability to influence and collaborate across teams. Resilient and adaptable, thriving in a fast-paced and dynamic environment. What We Offer: A competitive salary and benefits package. Opportunities for professional growth and development. A supportive and collaborative work environment. The chance to play a critical role in shaping the compliance framework of a leading wealth management firm. If you are a driven and resilient compliance professional with a background in wealth management and experience in SMF 16/17 roles, we would love to hear from you. Please send your CV and a cover letter detailing your experience and suitability for the role to us.
#J-18808-Ljbffr
