EXCLUSIVE: HEAD OF COMPLIANCE – GOOD FINANCIAL PROMOTIONS KNOWLEDGE REQUIRED
Hybrid
Core
Lead compliance operations for a retail broker, managing regulatory liaison, FCA reporting, and financial promotions oversight.
Role type
Head of Compliance
Builds
Compliance monitoring and regulatory adherence for a retail broker
Domain
Financial Services / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
FCA regulatory knowledge, Financial Promotions expertise, regulatory horizon scanning, staff supervision, training management
Preferred skills
SMF 16 qualification, prior managerial experience
Responsibilities
Regulatory liaison, FCA reporting, overseeing compliance monitoring, advising on financial promotions, horizon scanning regulatory changes, ensuring staff training, staff supervision and assessments
