At a Glance
- Tasks: Lead compliance efforts and ensure regulatory standards are met in a growing IFA firm.
- Company: Boutique Independent Financial Adviser firm with a focus on compliance and growth.
- Benefits: Competitive salary, leadership role, and the chance to shape compliance culture.
- Other info: Opportunity for career advancement and to influence business growth.
- Why this job: Make a real impact by embedding a practical compliance culture in a dynamic environment.
- Qualifications: Minimum five years' experience in compliance roles within an IFA firm.
The predicted salary is between 61408 - 75000 £ per year.
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 across all areas of finan...
