Head of Compliance Operations

70000.00 - 85000.00 GBP Annual + GBP70000 - GBP85000/annum
26 Sep 2017
24 Oct 2017
Contract Type
Full Time
Title: Head of Compliance Operations
Hours: Full Time (Monday to Friday 9am - 5pm)
Location: Plymouth (with some national travel)
Salary: GBP70,000pa - GBP85,000pa

Our client is a fast growing, nationwide wealth management firm who pride themselves on the rewarding experience they offer to their clients in order to support them in achieving their financial goals. The business is now looking to expand their team by recruiting a technical and highly analytical Head of Compliance Operations who has a genuine drive to ensure excellence and continuous improvement within the Compliance arena. The ideal candidate will be a confident people manager who is focussed on ensuring compliance is implemented and maintained effectively across a growing workforce.

This role reports into the Group Compliance Director and requires a Level 4 Diploma in Financial Planning and a relevant T&C qualification, with substantial experience within Compliance in a financial planning environment. In return, my client can offer you a challenging role within a dynamic, forward thinking and rapidly growing environment which boasts a comprehensive benefits package.


* Ensuring the T&C schemes used are fit for purpose and are kept up-to-date
* Overseeing the delivery of the T&C scheme by the Internal Line Managers.
* Ensuring appropriate plans are created, implemented and validated in relation to planners and shortfalls in standards of advice, service and other relevant activities.
* Providing the Internal Line Managers with relevant training and support to ensure they remain competent supervisors and develop to meet the needs of the business.
* Providing the Group Compliance Director with periodic reports on T&C and Business Quality Assurance activity with an emphasis on key areas of risk.
* Assisting in the development and maintenance of the compliance monitoring plan.
* Liaise with the Risk and Audit Manager to ensure any risks relating to TCC and business quality are recorded in the departmental risk register.
* Liaising with the Risk and Audit Manager to ensure control measures are working effectively.
* Liaising with the Head of Policy to ensure relevant regulatory and legislative changes are incorporated into advice standards, processes and documentation.
* Liaising with the Head of Policy in respect of complaints and breaches with a view to identifying and agreeing root causes and ensuring appropriate action with a view to reducing/eliminating risk of repetition.
* Promoting the Company's core values both within the team and with key internal and external stakeholders.
* Leading by example in terms of demonstrating a desire for excellent, learning and continued improvement.
* Conduct effective 1:1s and appraisals with staff on a periodic basis.
* Liaise with HR Head of Learning and Development to ensure staff learning and development requirements are addressed in an efficient and effective manner.
* Work to maintain effective working relationships with key internal stakeholders thus ensuring the compliance function is at the heart of the business.
* Chair the Business Standards and Advice Committee and represent compliance on the Investment Committee.

Skills & Experience:

* Qualified to Level 4 in a RDR qualification, e.g. Diploma in Regulated Financial Planning is essential.
* A relevant T&C Qualification (e.g. JO7) is essential.
* Demonstrable knowledge and understanding of risk management frameworks, principles and methodologies.
* Strong knowledge of the UK regulatory framework and the FCA Handbook.
* 5 years or more in a financial services environment.
* 3 years or more in a T&C Management or leadership role.
* Compliance auditing and monitoring experience in an IFA/financial planning environment.
* Ability to work under minimal supervision.
* Strong technical and analytical skills.
* Ability to plan and deliver a schedule of work to agreed timescales.
* Drive for sustained excellence and continued improvement.
* Strong written and oral communication skills.
* Able to liaise with internal stakeholders and quickly gain credibility as a professional and competent colleague.
* AF6 - Senior Management and Supervision qualification is desirable.
* Chartered Financial Planner status is desirable

If you are interested in the above role then please apply with your CV or phone Joanna Middleton on (Apply online only) for a private and confidential discussion

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