Exclusive: Head of Compliance - IFA/DFM Compliance Experience Required

Compliance Recruitment Solutions
Dumfries, UK
12 Oct 2019
18 Oct 2019
Contract Type
Full Time
Our Client, a niche IFA and discretionary fund manager, seeks a Head of Compliance
to provide high quality compliance support within a small in-house team. In this interesting and varied role in a pleasant & well supported firm and supervising one assistant, duties include;

• Providing guidance to advisers, support staff and compliance administrator especially regarding complex compliance matters
• Help to design practical in-house training in relation to regulatory developments or industry/ compliance hot topics
• Conducting and providing feedback to advisers and support teams on new business and ongoing review file checks and ensuring any remedial action required is completed
• Maintaining accurate, up to date and detailed compliance records and registers
• Checking and maintaining records on financial promotions
• Providing support to MLRO in implementing effective systems and controls to counter money laundering or financial crime risks including new staff training and refresher training
• Liaising with independent Consultancy for any compliance queries which require external support

You should have the Diploma in Regulated Financial Planning or equivalent relevant qualification (or be at an advanced stage whereby the qualification can be obtained in short time frame) and at least
five years IFA/ DFM or regulated financial services compliance experience (professional qualification study cost and time both paid and encouraged). NB Pleasant offices a couple of minutes walk from Tottenham Court Road station (or less than 10 minutes from Oxford Circus)

For further information or a confidential no obligation discussion, please feel free to call David Crook on ##### ######or send your details to him at #####@######.###

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