Compliance Manager/Head of Business
Our client, a financial services company who are based in London are currently looking for a 'ComplianceManager’ to join their team. You will be well educated to degree level and have gained a wealth of experience of 5-8 years and have extensive experience with dealing the IFA Markets and if you have SMF 16/17 that would also be beneficial.
Duties will include:-
- To ensure that a strong compliance culture is recognised and embedded across the Company.
- To lead the management of compliance across the operations and implement policy to meet regulatory requirements enabling the business to respond to regulatory and legislative changes.
- To fulfil the statutory obligations of the 'NominatedOfficer’, Head of Compliance and MLRO.
- To hold and execute the requirements of the SMF 16 (Compliance Oversight Function) and SMF 17 (Money Laundering Reporting Function).
- Responsible for ensuring 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
- Need to have worked with financial advisors
- Must have retail experience
- Reporting to the clients boards, both operating company and Group, in respect of that responsibility
- Maintaining effective relationship with regulatory bodies.
- Ensuring all notification and reporting requirements are met.
- Maintenance of documented and effective compliance procedures consistent with internal standards, business goals and attitude to risk.
This role, will be required to go in their offices at least 3 days a week.
Contract Details
- Contract Type: Permanent
- Salary Type: per annum
- Total Applications: 8
- Last Date: 31/01/2025