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. You will be well-educated to degree level and have gained a wealth of experience of 5-8 years, with extensive experience dealing with the
IFA Markets . Having SMF 16/17 certification would also be beneficial. Duties will include: Ensuring that 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. Fulfilling the statutory obligations of the 'Nominated Officer', Head of Compliance, and MLRO. Holding and executing the requirements of SMF 16 (Compliance Oversight Function) and SMF 17 (Money Laundering Reporting Function). 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. Having prior experience working with financial advisors. Must have retail experience. Reporting to the clients' boards, both operating company and Group, in respect of that responsibility. Maintaining effective relationships with regulatory bodies. Ensuring all notification and reporting requirements are met. Maintaining documented and effective compliance procedures consistent with internal standards, business goals, and attitude to risk. This role requires attendance in the office at least 3 days a week.
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IFA Markets . Having SMF 16/17 certification would also be beneficial. Duties will include: Ensuring that 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. Fulfilling the statutory obligations of the 'Nominated Officer', Head of Compliance, and MLRO. Holding and executing the requirements of SMF 16 (Compliance Oversight Function) and SMF 17 (Money Laundering Reporting Function). 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. Having prior experience working with financial advisors. Must have retail experience. Reporting to the clients' boards, both operating company and Group, in respect of that responsibility. Maintaining effective relationships with regulatory bodies. Ensuring all notification and reporting requirements are met. Maintaining documented and effective compliance procedures consistent with internal standards, business goals, and attitude to risk. This role requires attendance in the office at least 3 days a week.
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