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Head of Compliance & Operations - Financial Services UK Home-based

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  • Ref: JH1310

The purpose of the Head of Compliance Operations role is to support the Group Director in the following key areas:

  • Oversight and supervision of T&C delivery by the Regional Development Directors;
  • Ensuring T&C framework supports the business in meeting regulatory expectations and achieving the highest possible standards
  • Setting, implementation and review of advice standards to be followed by planners in the advisory businesses
  • Monitoring of business written by the planners
  • Ensuring any shortfalls in standards across area of responsibility are addressed in a timely manner

Head of Compliance & Operations - Financial Services UK Home-based responsibilities include...

Duties and key result areas:

The Head of Compliance Operations is responsible for:-

  • Ensuring the T&C schemes used are fit for purpose and are kept up-to-date
  • Ensuring appropriate plans are created, implemented and validated in relation to planners and shortfalls in standards of advice, service and other relevant activities
  • Providing relevant training and support to ensure all Regional Directors remain competent supervisors and develop to meet the needs of the business
  • Providing periodic reports on T&C and Business Quality Assurance activity with an emphasis on key areas of risk
  • Liaising with the Risk and Audit Manager to ensure control measures are working effectively.
  • Liaise with HR Head of Learning and Development to ensure staff learning and development opportunities/requirements are addressed in an efficient and effective manner

Head of Compliance & Operations - Financial Services UK Home-based requirements include...

Knowledge and Qualifications

  • Minimum qualified to Level 4 in a RDR qualification Diploma in Regulated Financial Planning
  • Relevant T&C qualification - JO7 (Supervision in a Regulated Environment
  • Strong knowledge of the UK regulatory framework and the FCA Handbook
  • 5 yrs or more in a financial services environment
  • 3 yrs of more in a T&C management/leadership role
  • Compliance auditing and monitoring experience in an IFA/financial planning environment

Ability to work under minimal supervision with a strong technical and analytical skills. As this role has the option to be home-based with cross function into a number of UK hubs. You could be based anywhere in the UK. UK travel will be part of the remit.

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