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Head of Compliance
My client is a well regarded wealth management firm base din the City of London and looking for a compliance professional to take ownership of their entire compliance function.
They are a boutique business of c100 staff serving private individuals as well as companies and charities across the UK. The business offers both financial planning and discretionary investment management.
The role will have full ownership of the compliance function and hold the SMF16 & 17 functions. It will support senior management in ensuring the company maintains its regulatory obligations as well as managing the relationship with the regulators. This will be stand alone role supported by an outside consultancy.
The ideal candidate is likely to be stepping up into this role for the first time and coming from a similar wealth management background. Knowledge of both financial planning and discretionary investment management would be useful but the financial planning side is the larger emphasis of the business and role and they are comfortable if that is the area someone comes from.
You would:
- Act as liaison with the regulator
- Hold the SMF16 & 17 as well as act as the firms DPO
- Chair the risk committee
- Advise senior management
- Develop and oversee the annual monitoring plan
They are highly regarded and are known for putting their staff first and acting as a business that is highly ethical. The culture is fantastic and people tend to join for this reason.
They can offer hybrid working and a strong set of benefits.
PLease submit your CV for consideration or email Tom Boulderstone on tgb@barclaysimpson.com for further information.
Barclay Simpson, worldwide specialists in Compliance jobs: https://www.barclaysimpson.com/specialisms/compliance-jobs/
This job was posted by Barclay Simpson: https://www.barclaysimpson.com/job/tgb-44832/head-of-compliance/
We seek individuals from a diverse talent pool and encourage applicants from underrepresented groups to apply to our vacancies. Our commitment to fair recruitment processes means that we welcome applicants from all backgrounds, regardless of their lived experience or personal characteristics. We also invite applicants who meet most of the listed requirements, even if not all, to apply. If you require any adjustments to the application process, please let us know.
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