Head of Compliance Operations

40000.00 - 60000.00 GBP Annual + GBP40000 - GBP60000/annum benefits, share options and bonus
25 Jul 2017
22 Aug 2017
Contract Type
Full Time
Head of Compliance Operations
GBP45,000 - GBP60,000 + benefits, share options and bonus

Leading IFA practice with its head office based in the Midlands, huge growth and progression opportunities for motivated and driven financial service professionals. This is a newly created position that would suit compliance professionals with a solid understanding of T&C, Policy and who can manage and inspire.

* Working in conjunction with the Risk department, contributing to embedding the Firm's systems, controls and processes across all CF30 functions
* Co-ordination and analysis of T&C MI data in order to determine recommendations of actions to be delivered by T&C Supervisors
* Oversight of T&C MI data gathering processes ensuring that administrative functions have a clear and in depth knowledge of the functions that they perform
* Responsibility for monitoring of Span of Control limits, forwarding proposals and alerts as necessary to Group Head of Risk to ensure mitigation of any unnecessary financial or regulatory exposures
* Responsibility for self-development and development of team members in understanding all functions performed by the business to ensure cohesiveness of communication and process
* Operational oversight of T&C Recruitment, recognising escalation points to Risk when recruitment applications fall outside acceptable parameters
* Key stakeholder in consultant induction process ensuring regular communications with Head of Training
* On-going review of T&C processes, identifying continuous improvement recommendations where necessary
* Co-ordinating communications of issues identified with T&C software data discrepancies to Head of Operations
* Responsibility for successful embedment and confirmed understanding of T&C software amongst all relevant stakeholders
* Line management of all members of the T&C Operations Department, ensuring the development and maintenance of successful working relationships through regular reviews and effective communication

* Significant experience in the support of IFA's
* A substantial breadth of experience in operational and risk management functions
* Ability to assist in other risk management functions as necessary
* Excellent prioritisation and organisational skills
* Excellent written and numerical skills and an exceptional communication style
* Aptitude in Microsoft Office packages

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful