Compliance Manager/Head of Business

Compliance Manager/Head of Business

Our client, a financial services company who are based in London are currently looking for a 'Compliance Manager' 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 'Nominated Officer', 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.