July 5, 2024

Head of Compliance – Part Time

We have been exclusively instructed by a niche Wealth Management business that 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.

The CLARC Guarantee – we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.

Apply for this role through this job post or email an application to jobs@clarcrecruitment.com

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