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Head of Compliance - City, Manchester, United Kingdom, M1


My client is looking for an experienced Head of Compliance to ensure the company adheres to legal standards and in-house policies. You will be responsible for enforcing regulations in all aspects and levels of business as well as provide guidance on compliance matters.

The role will involve:

  • Keep up to date with, and understand, relevant laws and regulations
  • Monitor compliance with laws, regulations and internal policies
  • Ensure that your findings are recorded and followed up with management so that issues can be rectified
  • Educate employees on not only the regulations but also the impact to the organisation if these are not complied with
  • Investigate irregularities and non-compliance issues
  • Report back to business functions on current risk and compliance performance
  • Contribute to robust and effective compliance controls within the organisation
  • Review marketing materials, presentations and websites to ensure compliance with regulatory requirements
  • Conduct annual staff training - Financial Crime / Anti Money Laundering etc
  • Maintain T&C records for all Advisers
  • Conduct regular T&C 121 meetings with Advisers

Key Requirements:

  • Have experience of pre-approval authorisations
  • AF3 or equivalent pensions qualification desirable
  • Must have experience of liaising with the FCA