Looking for a part-time Head of Compliance role with plenty of flexibility to work from home?
That’s what’s on offer here. We’re looking at 1-2 days per week and you can work fully remotely.
You may be a portfolio director looking to strengthen your existing portfolio. Or you may be taking a break for work but keen to ‘keep your hand in’.
Whatever your reason for seeking a part-time role, this is an excellent opportunity.
You’ll be working for a 3-partner boutique Financial Planning firm where the bulk of the day-to-day Compliance responsibilities are managed by an experienced Compliance Manager.
You’ll provide ongoing Compliance advice and guidance to the senior leadership team and undertake horizon scanning to keep them abreast of any changing regulatory requirements, ensuring the business responds accordingly.
You’ll manage the firm’s relationship with the FCA and make all appropriate notifications including submission of their Retail Mediation Activities Return and relevant Notifiable Changes.
You’ll also produce the annual Compliance report and the annual Consumer Duty Assessment report for senior management.
You’ll be an experienced senior Compliance specialist familiar with operating at this level within an Advisory, Wealth Management firm. Previous experience as an SMF16 would be advantageous.
You’ll have a proven track record of senior stakeholder engagement as well as team management and development. Excellent communication, negotiating and influencing skills are essential.
Interested?
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.
