Deputy Head of Compliance Needed at Wealth Manager recruitment
Due to expansion and strong performance, the firm requires additional resourcing in compliance to assist the team in managing the regulatory requirements and internal controls necessary. This is an excellent opportunity for an experienced compliance professional to take a senior role in an experienced team and take the position of Deputy Head of Compliance.
Your main responsibilities will include:
• Drafting and implementing the Compliance plans with the Head of Compliance
• Execute the compliance monitoring programme
• Assist in managing the relationships with regulators
• Provide approval for financial promotions
• Oversee compliance training and competencies for a broad range of staff
• Proactively work towards delivery of the six TCF consumer outcomes in influencing a strong compliance culture at the firm
Key Skills/Experience required:
• Significant compliance experience in wealth management where there is discretionary
• Relevant experience to take a Deputy Head role covering both compliance and money laundering responsibilities relative to wealth management operations
• Strong understanding of client money rules (CASS regulation)
• Strong understanding of the FSA handbook (COBS, COLL)
• Relevant industry qualification (CISI, IMC, FPC etc)
Location: West End
If you would like to take a Deputy Head position at a successful wealth manager, please send me your updated CV.