Head of Compliance - SMF16/17

I am mandated on an exciting Head of Compliance role working with an IFA consolidator. The role will be SMF16/17 and you will need to have working knowledge of the IFA industry.

They are looking for an entrepreneurial character who can take the lead on all things Compliance and Fin Crime as they continue to invest in and expand the business.

Ideal experience:

1. Previous SMF16 experience
2. Experience working within an IFA business
3. Compliance aspects of migrating assets to a new platform and Central Investment proposition
4. Compliance function design (including but not limited to systems and controls, governance oversight design, e.g. centralised vs decentralised model etc)
5. Retail compliance experience
6. Consumer Duty experience
7. Compliance monitoring experience
8. IT knowledge/tech savviness/embrace new systems (new age tech for e.g. KYC, AI generated suitability letters)
9. Regulatory capital knowledge
10. Managing compliance for acquisitions (pre and post acquisition consideration, including compliance aspects of share purchases which involve CiC, or asset purchases which involve SUP15 notifications)

Desirable:

1. Experience managing multiple offices in different locations
2. Risk management