Head of Compliance Policy & Operations

London, South East England
10 Jun 2017
09 Jul 2017
Contract Type
Full Time

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.

The role-

  • 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.

Key Requirements-

  • 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.