Head of Compliance Policy & Operations
Job Description: Reporting into the Group Compliance & Risk Director to provide proactive Advice and Guidance on regulatory issues across this successful Wealth Management business, this is a newly created position, responsible for the delivery of all Compliance Policy & Operations activities. This role will also support the Group on creating rigour and best practice within the regulatory frameworks. This can be a temp to perm opportunity if desired.
The Client- Wealth Management & Employee Benefits business based in the City with offices all over the UK.
This Client does not provide sponsorship.
- Managing all regulatory advice and support to the key business leaders in Wealth Management and Employee Benefits.
- Work closely with Operations, to ensure that operational processes and procedures are in line with regulatory expectations.
- To provide timely and concise information to the business on regulatory updates and horizon scanning of the FCA.
- Review the process of current Training &Competence schemes / financial advice process and design best practice within this and Quality Assurance.
- Support the Group Compliance & Risk Director on developing and implementing rigour within the Compliance processes, policies and systems on how to integrate acquired firms into the Group standards and best practice.
- Be responsible for AML controls and processes, approval of all financial promotions, the investigation of all regulatory complaints and oversight of the compliance helpdesk, including the provision of Compliance Roadshows.
- Hold relevant professional qualifications or demonstrate qualification by experience to be able to perform the role
- It would be desirable to have QCF Level 4
- Excellent understanding of pensions, wealth management, and potentially also employee benefits
- Minimum 5 years’ experience in a compliance function
- Up to date with key market developments, industry / market changes and regulations
- Extensive and up to date technical knowledge of the financial planning process
- An excellent communicator with great interpersonal skills - a strong character who can provide appropriate challenge to senior management when required.
- Demonstrate a 'can-do’ attitude and the ability to pro-actively manage workload to prioritise tasks
- Act with personal integrity
- Able to deal with change in a positive way.