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Head of Compliance - Wealth Management

Careers In Group
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

I am working with a London-based Wealth Management firm on a highly confidential Head of Compliance position. This role will report into the CEO with a dotted line to the Director of Compliance and Legal, and take ownership of the management of the Compliancefunction.You will be an inspiring team leader, adept at managing the main Financial Crime disciplines (AML, KYC, Transaction Monitoring, CDD etc.), with in-depth knowledge of FCA regulations and having also drafted new policies.The ideal candidate will be hands-on in their approach and able to think laterally, and have previously held an SMF-16 position. Prior experience within the Wealth Management space is also required.The remit for this role will include, but is not limited to:

  • Managing the Compliance function, including the existing team and its direct reports as well as the Fincrime remit
  • Take ownership of the SMF-16 role within the business, including leading the daily operations of the Compliance function
  • Act as the point of contact with the Regulator, staying up to date with FCA changes and keeping the team abreast of these changes
  • Draft new policies for the Function to be approved by the CEO and Legal Director
  • Ensure ongoing monitoring and review of key controls are in place across the business
Required experience:
  • Extensive, demonstrable experience holding an SMF-16 role, ideally within Wealth Management
  • Prior Compliance experience in the Wealth Management sector
  • ICA/ACAMS certification preferred, qualified background in Law highly preferred
  • Strong interpersonal skills, both as an inspiring leader and stakeholder manager
  • Energetic, hands-on leader who is unafraid to get stuck in to the work and not content sitting back in a pure oversight role

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