Description

This is leadership role (3 direct reports) covering their financial planning and financial advisory business. The role will be a mix of compliance advisory, regulatory change, policy and managing the compliance framework. Candidates should have in-depth regulatory knowledge covering MiFID, GDPR, SMCR, RDR, AMLD etc.

Key Responsibilities

• Develop a thorough understanding of the business and regulatory landscape the business operates within.
• Provide compliance advice, guidance and direction to the business on the legislative and regulatory requirements and impact of these requirements, as well as regulatory change, and ensuring application and control mechanisms are understood and consistently embedded
• Ensure there are effective compliance policies, procedures and controls in place in line with the firms regulatory obligations and expectations, including but not limited the requirements if MiFID, GDPR, SMRC, RDR, AMLD, etc.