Head of Compliance

Head of Compliance

Job Title: Head of Compliance
Contract Type: Permanent
Location: Home Based
Salary: £70000 - £80000 per annum, Benefits: Pension & Benefits Package
Start Date: ASAP
Reference: JM/BWD/3
Contact Name: Joanne McPherson
Contact Email:
Job Published: July 13, 2017 15:45

Job Description

Do you want to make an impact?  Do you want to be empowered to drive compliance forward within a dynamic setting?  Do you want to lead and deliver results through a team of dedicated compliance professionals? 
If so, this may well be the opportunity for you, as a highly progressive national IFA business is looking to make the key appointment of Head of Compliance (CF10), to lead its well established compliance function.
Your core duties and responsibilities would be as follows:
·         Overseeing and leading the Compliance Department across core functions including quality assurance and monitoring, policy and emerging risks, breaches and complaints, financial promotions
·         Managing across complex business units and working in close partnership with the senior management teams and the Board
·         Reviewing existing MI and KPI’s in order to assess effectiveness with a view to evolving policies, reporting, controls and measures
·         Acting as champion of compliance and advice standards in order to put compliance at the heart of the business
·         Working in conjunction with the wider business to promote adherence to internal processes and policies whilst also being aware of current and emerging FCA requirements that may impact the business
You will ideally have the following skills and experience:
·         Demonstrable track record of providing consultative compliance and regulatory solutions to senior management teams up to and including Board level
·         Exceptional leader of people; with the ability to win hearts and minds in order promote a collaborative and inquisitive compliance culture
·         QCF Level 4 as a minimum, any progression towards chartered status would be advantageous, but is not essential, the desire to attain level 6 is preferred
·         Current and thorough knowledge of the UK’s regulatory requirements within an advisory setting
·         Detailed and technical understanding of the advice process, platforms and products across both investment and non-investment
·         Skilled communicator with the ability to influence and challenge in a positive and engaging manner
·         Competent with back office systems and the Microsoft suite of products e.g. Word & Excel
This is a home based role with national coverage, though there are a number of national locations where there may be the opportunity to work within an office setting.  Frequent travel will be required as expected with a role of this scope and at this level.
You will enjoy a competitive basic salary and benefits package including Group Pension, DIS, Share Option Scheme and the opportunity to progress you career and professional competence by way of funded study support.
Should this opportunity catch your eye please click the ‘Apply’ button, or, alternatively send your CV to