Senior / Head of Compliance

My client is a leading Investment Management and Financial Advisory firm based in North Yorkshire providing both businesses and individuals with full Financial Planning services.

Due to the continued successful growth of the business and the need to embrace new regulatory requirements, the business is seeking an experienced Compliance professional.

This high-profile role provides regulatory and technical advice and expertise across the Investment Management and Financial Advice areas in all compliance issues associated with client-facing activities.

Key deliverables in the role include:

• Understanding key compliance risks across the business and working in collaboration with the Board and Senior Management to co-ordinate and align responsibilities
• Ensuring that regulatory requirements are clearly defined and implemented throughout the client-facing functions of the business in a proportionate and cost-effective manner
• Involvement with the management of compliance horizon scanning to ensure that new regulatory compliance requirements are implemented in a timely manner
• Maintain and enhance where applicable a robust set of systems and controls that minimise regulatory risk.
• Managing a positive relationship with the regulator and ensuring satisfactory outcomes of FCA reviews/exercises

As the ideal candidate you will:

• Be of degree calibre and preferably hold a relevant professional compliance/regulatory qualification
• Have proven senior level experience in Financial Services compliance, preferably within a Financial Advice, Wealth / Investment Management and/or within a Retail Investments environment
• Demonstrate proven experience of contributing to strategy and operational plans in a regulated environment.
• Have a track record of working in accordance with all regulatory, compliance and conduct risk policies with an understanding of the regulatory environment, particularly FCA systems & controls and conduct of business regulation (especially Suitability and Product Governance).
• Demonstrate a strong appreciation of Compliance and Conduct Risk and how these are embedded within a business.
• Have direct experience of managing a successful relationship with the FCA
• Have experience of dealing with client assets in accordance with the CASS rules
• Ideally hold Level 6 Chartered Qualification or Level 4 Diploma in Financial Planning, or CISI Certificate in Private Client Investment Advice and Management, or equivalent.
• Highly ethical and principled, analytical and diligent.
• Self-motivated, well organised and proactive with good communication skills and the ability to influence at senior levels across the business

You will be rewarded with an excellent benefits package which can be discussed upon application for the role in detail.