Compliance Director

Mazars; London; On-site; GBP 80,000 - 120,000; Full time

Job summary

A leading global professional services network seeks a Compliance Director for their London office. The successful candidate will oversee the compliance function, ensure adherence to FCA regulations, and report to senior management. This role offers significant responsibilities including managing AML and CTF programs and leading the Compliance team, contributing to the firm's ethical culture and operational effectiveness.

Qualifications

• Experience in financial services compliance, preferably in retail financial advice.
• Deep knowledge of FCA regulations.
• Ability to work independently and in teams.

Responsibilities

• Develop, implement, and maintain compliance policies and procedures.
• Monitor effectiveness of compliance controls.
• Conduct compliance audits and risk assessments.

Skills

Analytical skills

Problem-solving skills

Communication skills

Interpersonal skills

High integrity

Job description

Reporting directly to the CEO and the Board, the Compliance Director will oversee and manage the compliance function within the firm. This role ensures adherence 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, while fostering an environment conducive to growth.

Additionally, the Compliance Director will provide compliance support, acting as SMF16 for the Forvis Mazars Corporate Finance Practice. The role includes reporting to the Board on compliance matters, overseeing regulatory returns, certification, authorization processes, responding to complaints in line with regulatory rules, and ensuring marketing material compliance. This constitutes 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 compliance with FCA regulations and relevant legislation.
• Provide guidance and support to senior management and advisors on compliance matters.
• Lead the Compliance team, fostering operational effectiveness and team development.
• Conduct compliance audits and risk assessments regularly.
• Manage the firm's AML and CTF programs.
• Liaise with regulatory bodies, including the FCA, and respond to inquiries and inspections.
• Develop and deliver compliance training for staff.
• Stay updated on regulatory changes and industry best practices.
• Prepare and present compliance reports to the board and senior management.

Skills, Knowledge and Experience

• Experience as SMF16 and SMF17 is preferred but not mandatory.
• Extensive experience in financial services compliance, preferably in retail financial advice.
• Deep knowledge of FCA regulations and compliance requirements.
• Strong analytical and problem-solving skills.
• Excellent communication and interpersonal skills.
• Ability to work independently and in teams.
• High integrity and ethical standards.
• Drive and commitment expected of a senior professional in an expanding practice.

About Forvis Mazars

Forvis Mazars is a leading global professional services network operating under a single brand worldwide, with offices in the US and over 100 countries. We are a diverse, multicultural team that values ownership, involvement, and individual ideas. We empower our people, celebrate individuality, and foster teamwork and agility. Our London office is at 30 Old Bailey, near City Thameslink station, providing tailored services leveraging global expertise.

We are committed to inclusivity and support all candidates throughout the recruitment process. For more about our approach, click here.