Head of Compliance
Core
Design and enhance internal Compliance & governance frameworks, provide regulatory advice to senior stakeholders, and act as a liaison between the business and the FCA/PRA.
Role type
Senior IC Head of Compliance (Wealth Management)
Builds
Internal compliance frameworks, regulatory reporting, and approved financial promotions/marketing materials
Domain
Financial Services / Wealth Management / UK Regulation
Required skills
SMF16 regulatory expertise, wealth management background, team management, regulatory reporting, policy development, training delivery
Preferred skills
None stated
Technologies
None stated
Responsibilities
Design and enhance internal Compliance & governance frameworks; Provide regulatory advise and guidance to senior stakeholders; Undertaking monitoring, surveillance and regulatory reporting; Reviewing and approving financial promotions/marketing materials; Reviewing and updating policies and providing training; Acting as a liaison between the business and the FCA/PRA
