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Compliance Director/ Head of Compliance (Financial Planning)

Tempest Jones
Job LocationNewcastle Upon Tyne
EducationNot Mentioned
Salary65,000 - 100,000 per annum, negotiable
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

A fantastic opportunity has arisen to join a leading Northeast based practice of independent financial planners as Compliance Director or Head of Compliance.On offer to the successful candidate will be a competitive salary and benefits package.We are looking for a Compliance Director / Head of Compliance to help keep operations compliant with current and new regulations, as well as help drive the strategy of the business going forward.We are looking to speak to senior level compliance professionals who have either held the SMF16 & SMF17 functions previously or deputised for the Compliance Director / Head of Compliance and keen to take a step up into a SMF16 & SMF17 role.Accountabilities will be as follows:

  • As the Compliance Director / Head of Compliance, you will have overall responsibility for all compliance policies and controls across the business.
  • You will work closely with the managing director, head of financial planning, advisers and senior managers to help improve the business and drive strategy.
  • Responsibilities to include:
  • Provide leadership to the compliance function and all its staff.
  • Hold the function of SMF16 and SMF17
  • Act as Compliance Oversight, oversee Money Laundering monitoring procedures
  • Prepare, review, and update the Compliance policies & procedures, the Compliance monitoring program and the AML policies.
  • Perform compliance reviews according to the annual Compliance Monitoring Program.
  • To monitor and keep the Board and Management advised of current and pending relevant regulatory requirements.
  • To prepare and submit relevant reports to the Board of Directors and, where requested, to the FCA including reports involving suspicious transactions.
  • To liaise with the Internal and External stakeholders in relation to Compliance matters and ensure timely implementation of all audit recommendations related to Compliance.
  • To undertake the investigations of any complaints.
  • To complete regular reviews of Complaint Handling.
  • Other ad hoc tasks as required by the business.
To apply, or to find out more, please send your cv to jenny @ tempestjones . com

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