Head of Compliance Advisory

Brooks Macdonald Group plc is one of the UK's leading wealth management firms, recognised for investment performance and client service. We offer leading multi-asset investment services to intermediaries and high-quality financial planning advice to private clients, benefitting from a strong local presence across the UK.

We see an opportunity to lead the way within our sector in relation to sustainability and responsible investing. We have set a target for our direct footprint to be Net Zero by 2030 and continue to enhance our approach to responsible investment, which includes offering a dedicated service for clients with values-based objectives.

We offer fulfilling careers in an inclusive culture that values diversity, ambition and rewards high performance. Our guiding principles underpin our culture and are at the heart of everything we do:

• We do the right thing
• We are connected
• We make a difference

We welcome talented people from all backgrounds who live our guiding principles and are focused on ensuring good outcomes for our clients. We’re committed to promoting equal employment opportunities and positively encourage applications regardless of race, religion or belief, sexuality, age, disability, gender, gender identity, marital status or pregnancy and maternity.

Collaboration and knowledge-sharing is important to us as a firm, and we value different ways of working. Employees are required to be in the office three days a week, with flexibility to work from home on the other two days.

Role Overview
Contribute to the delivery and management of day-to-day compliance advisory operations to the business.

Role Responsibilities

• Contribute to regulatory change and business change projects as required;
• Responsible for the delivery of day-to-day compliance advisory operations to the business including suitability, vulnerable clients, financial promotions, personal account dealing, conflicts of interest, gifts and hospitality, shareholder and takeover disclosures, Compliance due diligence questionnaires and rules related to collective investment schemes;
• Maintenance and improvement of Compliance policies in line with best practice and engagement with the business to ensure embeddedness of said policies;
• Coordinate and carry out Compliance training including induction training;
• Escalate any significant issues, weaknesses or outstanding action items to the Co-Head of Compliance Advisory;
• Prepare Compliance reports and MI for management committees and present specialist Compliance papers, where required;
• Perform role always ensuring adherence to the expected behaviours stated in the FCA Conduct Rules.

Knowledge, Skills and Experience

• Highly organised, methodical, efficient and able to meet deadlines;
• Good interpersonal skills;
• Professional and concise written style;
• Pragmatic;
• Confident in providing advice and recommendations to senior stakeholders;
• Able to work on own initiative but also accept direction when necessary and learn quickly;
• Good analytical skills and experience of interpreting regulations as they apply to retail investments and investors;
• Good working knowledge of FCA Handbook particularly COBS, COLL and SYSC.

Must have

• Suitability
• SM&CR
• Financial Promotions
• Employee Compliance Topics, such as Personal Account Dealing, Gifts & Hospitality and Conflicts of Interest.