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Head of Compliance

Date posted: 12 May, 2016
Ref: Ref:hc120516
Industry: Compliance
Salary: £75000 - £85000 + Bens
Location: Birmingham
Contract Type: Permanent
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Further Information

My client is a prestigious Wealth Management provider based in theWest Midlands. Due to an internal promotion and a restructure of the Compliance function they are currently recruiting for a Head of Compliance. 

Reporting into the Compliance Director, the role is the second line of defence function, providing compliance oversight and challenge, as well as support and advice to the business. Your responsibilities will include;
  • Undertake analysis of FCA papers as appropriate and provide guidance to the business
  • Lead compliance related projects
  • To have an understanding of Conduct Risk and advising upon such Identifying, assessing, monitoring and managing compliance risks and requirements 
  • To deal with the day-to-day compliance queries relating to FCA Conduct of Business rules, Training and Competence, Money Laundering and LSE Regulation;
  • Developing and maintaining strong and up-to-date knowledge of regulatory requirements and applying them appropriately 
  • To continuously enhance a strong compliance culture across the the business
  • To liaise with relevant external bodies, such as the FCA, LSE and industry bodies as appropriate
  • Investigation of and responding to client complaints
  • To appropriately manage and supervise any staff assigned
You will be a senior Compliance professional with proven experience within the Wealth Management sector. My client offers a competitive salary and outstanding benefits package. 


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