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

Posted 14 February by Cathedral Appointments Ltd Easy Apply Ended

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

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
  • Overseeing the delivery of the T&C scheme by the RDDs
  • 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 RDDs with relevant training and support to ensure they remain competent supervisors and develop to meet the needs of the business
  • Providing the GCD with periodic reports on T&C and Business Quality Assurance activity with an emphasis on key areas of risk
  • Assisting the GCD 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 for which the HOCO is responsible are working effectively
  • Liaising with the Head of Policy to ensure relevant regulatory and legislative changes are incorporate 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 ensuring
  • Liaise with HR Head of Learning and Development to ensure staff learning and development opportunities/requirements are addressed in an efficient and effective manner
  • Work with the GCD and peers in maintaining 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
  • Represent compliance on the Investment Committee

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.

Required skills

  • UK market

Reference: 33545757

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