Head of Compliance & Regulatory Strategy

Bond Recruitment Ltd; Altrincham; On-site; GBP 60,000 - 80,000; Full time

Job summary

A well-established financial services firm in Altrincham seeks a Head of Compliance to oversee its compliance functions. The role involves managing regulatory obligations and developing comprehensive training programs for staff. Ideal candidates will possess a Level 4 Diploma in Financial Advice and have at least 2 years experience in financial planning. Strong analytical and communication skills are essential to ensure adherence to compliance standards and internal policies.

Qualifications

• Minimum 2 years in a technical financial planning role.
• Strong understanding of compliance regulations.
• Experience with FCA reporting and requirements.

Responsibilities

• Oversee and manage the compliance function within the organisation.
• Lead regulatory change projects and ensure adherence to policies.
• Produce compliance reporting and manage the risk register.
• Manage training and oversee the T&C scheme.

Skills

Regulatory compliance management

Risk management

Training development

Communication skills

Financial advice knowledge

Education

Level 4 Diploma in Financial Advice

Job description

A well-established financial services firm in Altrincham seeks a Head of Compliance to oversee its compliance functions. The role involves managing regulatory obligations and developing comprehensive training programs for staff. Ideal candidates will possess a Level 4 Diploma in Financial Advice and have at least 2 years experience in financial planning. Strong analytical and communication skills are essential to ensure adherence to compliance standards and internal policies.