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- Tasks: Lead compliance and financial crime initiatives in a growing IFA consolidator.
- Company: Join a dynamic IFA consolidator focused on innovation and expansion.
- Benefits: Enjoy a competitive salary, flexible working options, and opportunities for professional growth.
- Why this job: Be at the forefront of compliance in a rapidly evolving industry with a supportive culture.
- Qualifications: Must have SMF16 experience and knowledge of IFA compliance and regulatory frameworks.
- Other info: Ideal for entrepreneurial spirits ready to shape compliance strategies across multiple locations.
The predicted salary is between 72000 - 108000 £ per year.
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:
- Previous SMF16 experience
- Experience working within an IFA business
- Compliance aspects of migrating assets to a new platform and Central Investment proposition
- Compliance function design (including but not limited to systems and controls, governance oversight design, e.g. centralised vs decentralised model etc)
- Retail compliance experience
- Consumer Duty experience
- Compliance monitoring experience
- IT knowledge/tech savviness/embrace new systems (new age tech for e.g. KYC, AI generated suitability letters)
- Regulatory capital knowledge
- 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:
- Experience managing multiple offices in different locations
- Risk management
Head of Compliance - SMF16/17 employer: JSS Search
Contact Detail:
JSS Search Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance - SMF16/17
✨Tip Number 1
Network with professionals in the IFA industry to gain insights and make connections. Attend industry events or webinars where you can meet potential colleagues or mentors who can provide valuable information about the compliance landscape.
✨Tip Number 2
Stay updated on the latest regulatory changes and compliance trends within the financial services sector. This knowledge will not only enhance your expertise but also demonstrate your commitment to the role during interviews.
✨Tip Number 3
Showcase your entrepreneurial spirit by discussing any initiatives you've led that improved compliance processes or systems. Highlighting your proactive approach can set you apart from other candidates.
✨Tip Number 4
Familiarise yourself with the specific compliance technologies mentioned in the job description, such as KYC and AI-generated suitability letters. Being tech-savvy will demonstrate your readiness to embrace new systems and contribute effectively to the team.
We think you need these skills to ace Head of Compliance - SMF16/17
Some tips for your application 🫡
Understand the Role: Familiarise yourself with the specific requirements of the Head of Compliance position. Highlight your experience in the IFA industry and any previous SMF16 roles you've held.
Tailor Your CV: Ensure your CV reflects relevant experience, particularly in compliance functions, asset migration, and retail compliance. Use specific examples to demonstrate your expertise in these areas.
Craft a Compelling Cover Letter: Write a cover letter that showcases your entrepreneurial spirit and leadership skills in compliance. Mention your familiarity with new technologies and how they can enhance compliance processes.
Highlight Relevant Achievements: In both your CV and cover letter, emphasise your achievements in compliance monitoring, risk management, and managing compliance for acquisitions. Use metrics where possible to quantify your impact.
How to prepare for a job interview at JSS Search
✨Showcase Your IFA Knowledge
Make sure to highlight your understanding of the Independent Financial Advice (IFA) industry. Be prepared to discuss specific compliance challenges faced by IFAs and how your experience can help address these issues.
✨Demonstrate Entrepreneurial Spirit
Since the company is looking for an entrepreneurial character, share examples from your past where you took initiative or led projects that improved compliance processes. This will show your ability to drive change and innovation.
✨Discuss Compliance Function Design
Be ready to talk about your experience in designing compliance functions. Discuss your approach to systems and controls, governance oversight, and how you would tailor these to fit a centralised or decentralised model.
✨Emphasise Tech Savviness
With the increasing importance of technology in compliance, mention your familiarity with new systems like KYC and AI-generated suitability letters. Highlight any relevant IT knowledge that could benefit the role.
