Compliance Director

MAZARS UK; Greater London; Hybrid; GBP 60,000 - 100,000; Full time

Job summary

An established industry player is seeking a Compliance Director to lead its compliance function. This pivotal role involves ensuring adherence to FCA regulations, developing compliance policies, and fostering a culture of ethical behavior. The ideal candidate will have extensive experience in compliance within the financial services sector, strong analytical skills, and a commitment to integrity. Join a diverse and inclusive team where your contributions will be valued, and help shape the future of compliance in a dynamic environment. This is an exciting opportunity to make a significant impact in a leading firm.

Qualifications

• Extensive experience in compliance roles within financial services.
• In-depth knowledge of FCA regulations and compliance requirements.

Responsibilities

• Oversee compliance function and ensure adherence to regulations.
• Develop and implement compliance policies and procedures.
• Conduct compliance audits and risk assessments.

Skills

Compliance Management

FCA Regulations Knowledge

Analytical Skills

Problem-Solving

Communication Skills

Interpersonal Skills

Team Leadership

Integrity and Ethical Standards

Education

Degree in Finance or Related Field

Certifications in Compliance (e.g., ICA)

Job description

Compliance Director (4638)

Forvis Mazars is an engine for rapid and consistent career progression, offering individually designed career paths with a culture to help you pursue your interests. We match your changing needs with hybrid working, and help you explore your true potential. We work with diverse, prestigious clients across a range of sectors and geographies, giving you the opportunity to constantly update and grow your skills for lifelong professional development.

Forvis Mazars Financial Planning Ltd provides impartial, tailored financial planning advice and wealth management, working alongside our Tax and other professional service teams to:

• High Net Worth Individuals
• Business Owner-Managers
• Trustees - Private and Charitable

We are one of the UK's leading, purely fee based, Independent Financial Advisers. We provide a full range of financial planning services, from financial health checks to advice about investments, pensions, protection and tax planning.

We operate from 14 offices in the UK, employing over 130 team members, and managing c£2.4b of client assets through our in house discretionary investment management service. We are part of Forvis Mazars LLP, a leading audit and advisory firm both in the UK and across the globe.

Job Purpose

Reporting directly to the CEO, and the Board, the Compliance Director will be responsible for overseeing and managing the compliance function within the firm. This role ensures that the company adheres to all regulatory requirements and internal policies, fostering a culture of compliance and ethical behaviour. The Compliance Director will work closely with senior management, advisors, and other stakeholders to mitigate risks and ensure the firm's operations align with FCA regulation, whilst fostering an environment conducive to growth.

In addition to the above, the Compliance Director will also be required to provide compliance support, acting as SMF16 for the Forvis Mazars Corporate Finance Practice. The Compliance Director would be expected to attend and report into the Board on Compliance matters, and oversight that regulatory returns are completed, certification and authorisation processes are completed properly, complaints are responded to in line with regulatory rules and any marketing material is compliant. This will form a small part of the overall position.

Role & Responsibilities

• Hold the positions of SMF16 and SMF17.
• Develop, implement, and maintain the firm's compliance policies and procedures.
• Monitor and assess the effectiveness of compliance controls and systems.
• Ensure the firm complies with all FCA regulations and other relevant legislation.
• Provide guidance and support to senior management and advisors on compliance-related matters.
• Lead the Compliance team for operational effectiveness, and develop team members to fulfil their potential.
• Conduct regular compliance audits and risk assessments.
• Manage and oversee the firm's anti-money laundering (AML) and counter-terrorist financing (CTF) programs.
• Liaise with regulatory bodies, including the FCA, and respond to regulatory inquiries and inspections.
• Develop and deliver compliance training programs for staff.
• Stay up-to-date with regulatory changes and industry best practices.
• Prepare and present compliance reports to the board of directors and senior management.

Skills, Knowledge and Experience

• Experience acting as SMF16 and SMF17 preferable, but not mandatory.
• Extensive experience in a compliance role within the financial services industry, preferably within the retail financial advice arena.
• In-depth knowledge of FCA regulations and compliance requirements.
• Strong analytical and problem-solving skills.
• Excellent communication and interpersonal skills.
• Ability to work independently and as part of a team.
• High level of integrity and ethical standards.
• Drive/commitment as would be expected of a senior member of an expanding professional practice

About Forvis Mazars

Forvis Mazars is a leading global professional services network. The network operates under a single brand worldwide, with just two members: Forvis Mazars LLP in the United States and Forvis Mazars Group SC, an internationally integrated partnership operating in over 100 countries and territories.

We are one diverse, multicultural, multi-generational team with a huge sense of connection and belonging. This is a place where you can take ownership of your career, get involved, believe in yourself and put your ideas into action.

At Forvis Mazars, we empower our people and celebrate individuality. We thrive on teamwork and are agile. We have bold foresight and give people the freedom to make a personal contribution to our shared purpose. We support one another to deliver quality, create change and have a deeper understanding, to help make an impact so that everyone can reach their full potential.

Our London office, based at 30 Old Bailey, is at the heart of the UK's capital, close to City Thameslink station. We offer tailored services, leveraging our national and international expertise to meet the unique needs of businesses in this global hub.

Being inclusive is core to our culture at Forvis Mazars; we want to ensure everyone, whether in the recruitment process or beyond is fully supported to be their unique self. To read more about our approach click here

Our aim is to make the recruitment process as accessible and inclusive as possible - please contact us to discuss any changes you may require so we can work with you to support you throughout your application.

Visit forvismazars.com/uk to learn more.

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