Overview
Head of Compliance (non SMR) at Estate Capital Financial Management Limited. The role involves delivering key compliance functions, regulatory initiatives, and growth support for Estate Capital and Crossing Point Investment Management Limited.
Responsibilities
* Ensure compliance with regulatory requirements including Complaint Handling, Conduct of Business rules and Consumer Duty across both firms.
* Monitor the compliance policy frameworks to ensure they adhere to FCA expectations, update as needed, and maintain effective core processes.
* Oversee accurate preparation and submission of regulatory returns in line with reporting obligations.
* Provide expert compliance guidance across projects, embedding regulatory considerations from inception through delivery.
* Conduct compliance reviews on client files, internal processes, and practices; produce reports and recommendations for senior leadership.
* Provide training and updates on processes to enhance compliance, operational efficiency, collaboration, and professional growth.
* Monitor and conduct training in line with T&C Supervision to support the Managing Director.
* Perform complaint handling and root cause analysis to identify and address risks within the practice.
What you\'ll have
* Proven experience in a senior compliance role within financial services, with practical knowledge of both an IFA practice and Discretionary asset management.
* Demonstrated success in managing and developing teams.
* Project management abilities with a track record of delivering regulatory initiatives.
* IT and analytical skills to assess risk, interpret regulations, and provide clear, actionable advice.
Knowledge & Skills
* Deep understanding of UK financial services regulations, particularly within investment and advisory services.
* Strong interpersonal skills with the ability to build relationships and influence change.
* Excellent written and verbal communication skills; ability to present complex information clearly.
* A meticulous approach to ensuring accuracy and compliance across all activities.
* Responsibilities and experience in building or enhancing compliance processes.
* Flexible and creative thinker; experience with Intelligent Office integrated working practices, including Genova Advice AI opportunities.
Organization
Estate Capital Financial Management Limited is a Swansea-based Chartered Financial Planner established in 2003. The firm has 4 advisory staff and 11 support staff, providing advice to a wide range of client demographics. Close links with Crossing Point Investment Management Limited, a fast-growing Discretionary Model Portfolio Service.
What we offer
* Salary bracket £50,000 to £80,000
* Holiday allowance on a sliding scale based on length of service: 21 days, increasing up to 26 days plus 8 Bank Holidays
* Flexible working within office hours 8.00 am to 5.00 pm
* Pension scheme with matched contributions up to 8%
* Sick pay
* Statutory maternity, paternity, and shared parental leave
* Calendar of regular social events
* Professional qualification support
Seniority level
* Director
Employment type
* Full-time
Job function
* Legal
* Industries
* Business Consulting and Services
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