EXCLUSIVE: HEAD OF COMPLIANCE – GOOD FINANCIAL PROMOTIONS KNOWLEDGE REQUIRED

£60K - £70K + Bonus & Bens Watford Area (Hybrid)

Ref:4218D

We are exclusively recruiting for a leading retail broker seeking their first full time Head of Compliance. Managing a small team, duties will include;

1. All Regulatory liaison (potentially holding the SMF 16)
2. All FCA reporting
3. Overseeing all ongoing compliance monitoring
4. Advising on Financial Promotions
5. Horizon scanning all FCA regulatory changes, analysing and advising management on operational implications
6. Advising on day to day queries
7. Ensuring all required training carried out and properly recorded
8. Staff supervision and assessments

You should have several years FCA Compliance experience (any sector) with good knowledge of Financial Promotions and reviewing & interpreting FCA regulatory changes. You should also either have previous staff supervision experience or be looking for your first managerial role.

The role is Monday to Thursday in the office and WFH Friday though after six months, could move to 3d pw in office. NB The firm is based near the A41 & M25 junction and there is parking available nearby.

So, if that sounds like you, then please send your details to our MD, David Symes FCA, at

mailto:david@compliancerecruitment.com

, however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge