This is an excellent opportunity to join a successful, boutique wealth management business in a generalist Debuty Head of Compliance role; overseeing the design and implementation of accurate, robust compliant procedures in a 'number 2' role, but with the potential to move up to a 'number 1', Head of Compliance role (and subsequently hold SMF16 and 17 responsibilities) in the future.
This is a key role within the business; within which you be the 'go to' advisor to multiple stakeholder groups relating to any and all compliance queries, as well as taking a lead position in supporting its growth plans moving forward.
Specifically, your particular focus will be developing, implementing and embedding FCA and EU regulatory requirements within the firm and ensuring that internal policies, processes and procedures are maintained appropriately for staff to carry out duties in line with these prescriptive practices.
To be successful with your application, it is essential that you have experience of working in Compliance-related role within the retail investment management/wealth management fields. You should be able to accurately communicate across various internal and external stakeholder groups, as well as being organised, hold relevant qualifications and be able to provide an engaging, flexible approach to you work. Holding a Control Function position previously or currently - or having aspirations to do so in the near future - would also be beneficial.
In return, this role offers a competitive salary, bonus potential, company Pensions and private health insurance scheme enrolment, as well as the chance for you to showcase your skills to a company known for offering their staff an engaging working environment alongside short and long term career progression.
Please quote <46068> when calling Tom at Alexander Lloyd or email them at firstname.lastname@example.org. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Compliance & Risk recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance.
Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.