Head of Compliance

A Head of Compliance is required by a rapidly expanding, highly entrepreneurial diverse Financial Services provider. The business has submitted 2 separate applications to the FCA, and the oversight of these applications through to full authorisation will therefore be a key element of the role. It is anticipated that the position will become SMF16 in due course. The role is based in Wilmslow, with the flexibility to work from home 1 day per week. As a result you must live within a convenient, commutable distance of Wilmslow.

Reporting directly into the CEO, this is a really broad role that will involve

• Covering all aspects of compliance, including recruitment and training processes and records, sales scripts, marketing materials and websites, customer documentation, call monitoring, GDPR, Bribery & Corruption, risk management, FCA liaison and reporting, complaints etc.
• An initial period of designing/customising and implementing all of the above policies and processes to obtain FCA approval, with the help of an external Compliance consultancy.
• High-level discussions regarding compliance strategy, design of new products, potential acquisitions, FCA strategy etc.
• Meetings with the FCA and liaison with external Compliance consultants.
• Management of routine compliance processes within Sales, Ops, IT, Finance, marketing departments
• Rolling your sleeves up to listen to calls, design documents, resolve customer disputes and being available for advice around the office.

This is a fantastic opportunity for a seasoned Compliance professional with a proven track record of operating within an FCA regulated firm. You may be an experienced Head of Compliance or a Senior Compliance Manager seeking your first ‘No.1’ role. Applications are welcomed from all areas of the financial services spectrum due to the diverse nature of the client. It is likely that you will have worked in a highly entrepreneurial, SME or FinTech environment previously and you must have experience of working closely with Executive Management teams.


Salary:£65k - £75k + benefits


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