Head Of Compliance - Part Time

A niche Wealth Management business is looking to hire a Head of Compliance working on a part-time basis. The role will require someone with a hands-on, generalist experience and will have held SMF 16 & 17 previously within a similar business. The successful individual will have to work closely with all elements of the business.
Main Responsibilities:

• Responsibility for the compliance function of the UK business.
• Complete FCA regulatory filings
• Manage the Compliance Monitoring Programme.
• Review and approve new client on boarding KYC.
• Review and approve financial promotions.
• Support new business initiatives and projects that may have a compliance aspect
• Interpreting and disseminating information to management and staff about regulatory changes.
• Review and draft internal policies and procedures.
• Liaising with the FCA and other relevant bodies.

Job Requirements:

• Previous experience holding SMF 16 & 17 within a similar Wealth Management business.
• Excellent FCA rulebook knowledge including, but not limited to, AIFMD, UCITS & Consumer Duty.
• Strong Analytical skills.
• Excellent communication skills, both written and oral.

Unless otherwise stated, candidates must have the right to work in the UK.
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