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- Tasks: Lead compliance efforts and ensure a robust culture in a growing financial network.
- Company: Join a dynamic Mortgage and Financial Advisers network with ambitious growth plans.
- Benefits: Enjoy hybrid working options and the personal touch of a small business.
- Why this job: Be part of a supportive community while making a real impact in compliance.
- Qualifications: Experience in compliance, ideally with wealth management and mortgage knowledge.
- Other info: Must commute to Gateshead office a few times a week.
The predicted salary is between 48000 - 72000 £ per year.
Perhaps you’re looking for your first Head of Compliance role?
Or perhaps you simply want to join a business with ambitious growth plans?
This is a great time to join this network of Mortgage and Financial Advisers that supports a growing community of Appointed Representatives whilst retaining the personal touch and feel of a small business.
The group also includes other regulated and unregulated entities, providing plenty of variety.
You’ll ensure the Compliance framework is continually developed, enhanced, and embedded while promoting a robust compliance culture throughout the business.
Your responsibilities will include:
- Maintaining and implementing the T&C scheme.
- Undertaking annual certification of advisers, fitness and propriety checks, and annual KPI reviews and skill assessments.
- Acting as the Consumer Duty champion and PROD specialist.
- Operating as the main point of contact for the FCA.
- Providing day-to-day Compliance advice and guidance to the network.
- Overseeing and onboarding Advisers and Appointed Representatives.
You’ll be an experienced senior Compliance specialist with wealth management and mortgage experience, ideally being qualified to CII Level 4 and holding the CeMAP qualification. Previous experience in an SMF16 capacity would be advantageous but is not essential.
The company is based in Gateshead, and you must be able to commute into the office a couple of times each week.
Does this sound like you? Are you up for the challenge?
If so, click apply and send over your CV.
Company: Growing Wealth, Mortgage and Protection Network
Location: North East Tyne & Wear
Workplace: Hybrid Working
Reference: 415156
To apply for this position, please click on the ‘Apply Now’ button or email your CV together with details of your current remuneration to quoting reference 415156.
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Head of Compliance (SMF16 & SMF17) employer: Willow Resourcing
Contact Detail:
Willow Resourcing Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance (SMF16 & SMF17)
✨Tip Number 1
Make sure to familiarize yourself with the latest FCA regulations and compliance frameworks relevant to the mortgage and financial advisory sectors. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in SMF16 roles. Engaging with industry peers can provide valuable insights and potentially lead to referrals or recommendations for the position.
✨Tip Number 3
Highlight your experience in maintaining and implementing T&C schemes during discussions. Be prepared to share specific examples of how you've successfully managed compliance processes in previous roles, as this will showcase your hands-on expertise.
✨Tip Number 4
Demonstrate your understanding of consumer duty and PROD principles by discussing how you would champion these within the organization. Showing that you can promote a robust compliance culture will set you apart from other candidates.
We think you need these skills to ace Head of Compliance (SMF16 & SMF17)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance, particularly in wealth management and mortgage sectors. Emphasize any relevant qualifications like CII Level 4 and CeMAP.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for compliance and your understanding of the role. Mention your experience with T&C schemes and your ability to promote a compliance culture.
Highlight Relevant Experience: In your application, focus on your previous roles that align with the responsibilities listed, such as acting as a point of contact for regulatory bodies or overseeing adviser onboarding.
Show Enthusiasm for the Company: Express your excitement about joining a growing network and how you can contribute to their ambitious growth plans. This will demonstrate your alignment with their values and goals.
How to prepare for a job interview at Willow Resourcing
✨Showcase Your Compliance Expertise
Make sure to highlight your experience in compliance, especially in wealth management and mortgages. Discuss specific examples where you've successfully implemented compliance frameworks or improved compliance culture in previous roles.
✨Understand the Regulatory Landscape
Familiarize yourself with the FCA regulations and how they impact the business. Be prepared to discuss how you would act as the main point of contact for the FCA and provide day-to-day compliance advice.
✨Demonstrate Leadership Skills
As a Head of Compliance, you'll need to lead and influence others. Share examples of how you've led teams or initiatives in the past, particularly in maintaining and implementing T&C schemes or overseeing onboarding processes.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world compliance scenarios. Think about challenges you've faced in previous roles and how you navigated them, especially regarding fitness and propriety checks or annual KPI reviews.
