Head of Compliance (Part-Time)

Previous applicants need not apply

About the job

Company Description

My client is a boutique financial planning and investment management firm based in central London. They specialise in providing a high-touch personal service to city professionals and offering comprehensive wealth management advice tailored to clients' individual needs.

Role Description

This is a senior, part-time role for the Head of Compliance with responsibility for SMF16 and 17. As a member of the firm's senior management team, the role holder will lead on compliance and risk, preserving and enhancing our existing framework of systems, controls and policies to fulfil our regulatory responsibilities and maintain our "best in class" culture. The role also involves extensive collaboration with internal stakeholders, providing leadership, guidance and expert support on compliance matters. Full role description available on request.

Qualifications

• Minimum of 5 years experience in wealth management.
• Financial Planning is necessary to conduct file reviews environment.
• Previously held SMF 16 and 17 leadership roles or equivalent senior positions within a comparable business.
• Strong knowledge and understanding of FCA regulations and wider risk and corporate governance expertise.
• Ability to lead function, act as an expert trusted adviser and be responsible for building and maintaining a strong culture of compliance adherence across the business.
• Professional communication manner (written and verbal) and the ability to form strong working relationships with the existing team.
• Highly organised with an ability to work accurately to deadlines with accountability and ownership of own deliverables and task management.
• A pro-active 'can-do' personality and ability to influence and effect change where necessary by confidently communicating with employees at all levels.
• Educated to degree level and/or holding a relevant professional qualification.