Barclay Simpson
Head of Compliance
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Job Title
My client is a well-regarded wealth management firm based in the City of London and looking for a compliance professional to take ownership of their entire compliance function.
About the Firm
They are a boutique business of c100 staff serving private individuals as well as companies and charities across the UK. The business offers both financial planning and discretionary investment management.
Role Overview
The role will have full ownership of the compliance function and hold the SMF16 & 17 functions. It will support senior management in ensuring the company maintains its regulatory obligations as well as managing the relationship with the regulators. This will be a standalone role supported by an outside consultancy.
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Responsibilities
- Act as liaison with the regulator
- Hold the SMF16 & 17 as well as act as the firm's DPO
- Chair the risk committee
- Advise senior management
- Develop and oversee the annual monitoring plan
Ideal Candidate
The ideal candidate is likely to be stepping up into this role for the first time and coming from a similar wealth management background. Knowledge of both financial planning and discretionary investment management would be useful, but the financial planning side is the larger emphasis of the business and role, and they are comfortable if that is the area someone comes from.
Benefits
They are highly regarded and are known for putting their staff first and acting as a business that is highly ethical. The culture is fantastic, and people tend to join for this reason.
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They can offer hybrid working and a strong set of benefits.
Application
Please submit your CV for consideration or email Tom Boulderstone on tgb@barclaysimpson.com for further information.
Additional Information
Barclay Simpson, worldwide specialists in Compliance jobs: https://www.barclaysimpson.com/specialisms/compliance-jobs/
This job was posted by Barclay Simpson: https://www.barclaysimpson.com/job/tgb-44832/head-of-compliance/
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