Head Of Compliance

Blakemore Recruitment; England; On-site; GBP 70,000 - 110,000; Full time

Job summary

Blakemore Recruitment is supporting a prestigious financial planning organisation in recruiting a Compliance Manager who will head the Compliance Function and report to the board. The role encompasses AML responsibilities, regulatory oversight and ensuring FCA compliance across the group.

You will lead a small internal team and coordinate with external consultants, developing training programmes, monitoring client money, and supervising advisers to uphold high standards.

Responsibilities

• Acting as the Group’s Money Laundering Reporting Officer and holding the CF11 controlled function.
• Preparation of the ICAAP and monitoring of financial resources
• Preparation and implementation of a comprehensive compliance monitoring programme to monitor the Group’s adherence to the FCA rule book and guidance along with other regulatory matter such as data protection
• Overseeing and monitoring client money and assets activities
• Monitoring the Group’s appointed representatives
• Overseeing the completion of GABRIEL reporting
• Implementing the Group’s training and competence procedure and supervising adviser and discretionary managers in accordance with FCA’s training and competence requirements.
• Providing training to staff as required on anti-money laundering requirements, complaints and any other regulatory matters as required
• Reviewing and approving the Group’s financial promotions
• Drafting and reviewing compliance procedures and disclosure documents, processes and templates as required.

Job description

We are currently recruiting for a highly regarded and prestigious financial planning organisation who are looking for a key hire in their business. They require a Compliance Manager to head up the Compliance Function and report directly into the board. The key functions of this role are:

• Acting as the Group’s Money Laundering Reporting Officer and holding the CF11 controlled function.
• Preparation of the ICAAP and monitoring of financial resources
• Preparation and implementation of a comprehensive compliance monitoring programme to monitor the Group’s adherence to the FCA rule book and guidance along with other regulatory matter such as data protection
• Overseeing and monitoring client money and assets activities
• Monitoring the Group’s appointed representatives
• Overseeing the completion of GABRIEL reporting
• Implementing the Group’s training and competence procedure and supervising adviser and discretionary managers in accordance with FCA’s training and competence requirements.
• Providing training to staff as required on anti-money laundering requirements, complaints and any other regulatory matters as required
• Reviewing and approving the Group’s financial promotions
• Drafting and reviewing compliance procedures and disclosure documents, processes and templates as required.

This is a key hire to the group and will involve key responsibilities in dealing with all regulatory requirements. There is a small internal team to manage as well as managing any and all external consultants employed by the firm.

This is an excellent opportunity to join a prestigious, growing business and have a direct influence in it’s future direction.