Head of Compliance

We are recruiting for a growing boutique Independent Financial Adviser (IFA) firm seeking an experienced, commercially minded Head of Compliance to hold the SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) functions. This is a senior leadership role for an individual who can embed a practical, business-focused compliance culture while ensuring the firm continues to meet the highest regulatory standards. About You You will have a minimum of five years' experience performing SMF16 and/or SMF17 responsibilities within a well establsihed IFA firm. You will have a proven track record of developing and implementing effective compliance frameworks that support commercial growth rather than hinder it. You will be able to demonstrate experience in: · Preparing and presenting Consumer Duty annual reports. · Producing AML annual reports and fulfilling MLRO responsibilities. · Designing and delivering risk-based Compliance Monitoring Programmes. · Conducting high-quality advice file reviews and providing constructive feedback. · Completing and submitting RMAR returns. · Developing, implementing and continuously improving compliance policies, procedures and controls. · Maintaining accurate regulatory records and management information. · Managing complaints a...