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Compliance Director

Job LocationBristol
EducationNot Mentioned
Salary£50,000 - £80,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

Job Title: Compliance DirectorIndustry: Financial PlanningLocation: BathSalary: up to £80,000Job reference: 15175Recruit UK are working on an excellent opportunity for a Compliance Director to join an a Financial Advice practice in Bath.We are working with a thriving financial planning firm based in Bath on a Compliance director role. This opportunity can be remote, but you’d need to be within driving distance to the office so you’re able to attend as and when required (post restrictions).Duties will include but not be limited to:

  • Attend board meetings and adhere to board decisions made in accordance with its agreed voting systems
  • Performing all compliance oversite functions in accordance with and compliance with FCA rules, guidance, and requirements.
  • All money laundering reporting officer functions
  • All data-protection officer functions in accordance with and compliance with ongoing rules of the information commissioner’s office and general data protections regulations
  • Maintain a positive working relationship with the FCA and other relevant authorities
  • Advise the team in a timely manner of any changes to the FCA’s ongoing rules, systems and controls requirements and guidance to the JMLSGs or ICO’s ongoing guidance and GDPR requirements
  • You will ensure the company continues to meet its threshold continues under the Financial Services and Markets Act 2000.
  • Deliver appropriate and effective training of compliance to existing and new individuals
  • Comply at all times with the companies compliance and training/competency procedures
  • Ensure company maintains its risk based approach to its compliance monitoring
  • Manage companies fitness and propriety systems
  • Manage the companies complaints handing system
  • Ensure appropriate and adequate best price’ Professional Indemnity Insurance is in place at all times
  • Provide support as necessary to the recruitment of new RIs and their development to CAS
  • Delivery of close support to Sales and Marketing Director
  • Liaison with our network as required
  • Provide new staff recruitment support as necessary
  • Support the ongoing development of RI
  • Support the development of training materials and training sessions for RIs and staff and assist with the delivery of this training.
  • Ensure always available for ongoing follow up support
  • Benefits:- Salary up to £80,000- Pension- PHI cover- DIS x 4- Holidays - 25 days + Bank holiday- Ability to work remotely and from the office as requiredSkills and experience required:- Experience as a compliance manager- Experience working with a board/directors and senior management- Experience with working alongside the FCA and providers- Understanding of the tasks/duties listed above- DipFAAbout Recruit UK:As specialists in financial services recruitment, we bring unique expertise, insight and connections, whether you are looking for a new job or are trying to fill a role. We have a reach of more than 100,000 financial services connections. Right now, Recruit UK are pleased to be working with an Financial Advice firm based in Bath on a Compliance Director role.Our commitment to you:Start every journey with a conversation to find out about you in-depth.Provide honest feedback on where you fit in the jobs market.Use our network across the financial world to match you to your perfect position. Or if we think you already have it, we’ll tell you.Take a holistic mindfulness approach - career happiness is rarely just about the money.Cover the whole of the UK with a local touch through our regional teams.Never pester you.Additional information:Please note that due to the volume of applications we receive, you will be contacted within 7 working days if your application has been successful. If you have not received communication during this period, please assume your application has been unsuccessful on this occasion. We may however retain your information in connection with future opportunities, should they be suitable to your skills and experience.

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