Head of Compliance - Wealth Management

KennedyPearce; Greater London; Presencial; GBP 90.000 - 150.000; Jornada completa

Descripción de la vacante

KennedyPearce seeks an experienced Head of Compliance for its client’s wealth management team in London. The role requires SMF16 designation and leads internal compliance and governance design, advising senior stakeholders on regulatory changes.

Key duties include monitoring, surveillance, regulatory reporting, approving financial promotions, policy updates, training, and liaising with the FCA and PRA. Seven years in a similar role in wealth management is essential.

Formación

• SMF16 designation is required.
• 7+ years of compliance leadership experience in wealth management.
• Strong people management and stakeholder engagement skills.

Responsabilidades

• Lead design and enhancement of internal compliance and governance frameworks.
• Provide regulatory advice to senior stakeholders, covering new regulations impact.
• Conduct monitoring, surveillance, and regulatory reporting; approve financial promotions.
• Update policies, deliver training, and act as liaison with regulators (FCA, PRA).

Conocimientos

SMF16 designation

Regulatory leadership

People management

Stakeholder management

Descripción del empleo

The client is seeking an experienced Head of Compliance to join its wealth management team in London. This role requires holding the SMF16 designation and is responsible for designing and enhancing internal compliance and governance frameworks. The successful candidate will provide regulatory advice and guidance to senior stakeholders, particularly regarding the impact of new regulations.

Key responsibilities include undertaking monitoring, surveillance, and regulatory reporting, as well as reviewing and approving financial promotions and marketing materials. The Head of Compliance will also be responsible for reviewing and updating policies, providing training, and acting as a liaison between the business and regulatory bodies such as the FCA and PRA.

The ideal candidate will have significant experience in a similar compliance leadership role within wealth management, including previous SMF16 responsibilities. Strong team management skills and a proven track record of at least seven years in the field are essential for success in this position.