Ready for your next challenge?
Perhaps you’re looking for your first Head of Compliance role?
Or perhaps you simply want to join a business with ambitious growth plans?
This is a great time to join this network of Mortgage and Financial Advisers that supports a growing community of Appointed Representatives whilst retaining the personal touch and feel of a small business.
The group also includes other regulated and unregulated entities and so you’ll enjoy plenty of variety as well.
You’ll ensure the Compliance framework is continually developed, enhanced and embedded and promote a robust compliance culture throughout the business.
You’ll maintain and implement the T&C scheme, undertake annual certification of advisers, fitness and propriety checks and annual KPI reviews and skill assessments. You’ll also act as the Consumer Duty champion and PROD specialist and operate as the main point of contact for the FCA.
In addition, you’ll provide day-to-day Compliance advice and guidance to the network and be responsible for oversight and onboarding of Advisers and Appointed Representatives.
You’ll be an experienced senior Compliance specialist with wealth management and mortgage experience, ideally being qualified to CII Level 4 and holding the CeMAP qualification. Previous experience in an SMF16 capacity would be advantageous but is not essential.
The company is based in Gateshead and you must be able to commute into the office a couple of times each week.
Does this sound like you? Are you up for the challenge?
If so, click apply and send over your CV.
Not got an up to date CV? Don’t worry, you can always give me (Mark) a call on 0121 274 0357 for a confidential discussion or email me at [email protected] letting me know that you’re interested. We’ll pick it up from there.
