Head of Compliance (non SMR) Overview: As Head of Compliance (non SMR), you will be pivotal in ensuring Estate Capital Financial Management Limited and its sister company Crossing Point Investment Management Limited, who are a growing and developing DFM offering a Model Portfolio Service solution to IFA’s, to meet their regulatory obligations, embedding best practices and delivering proactive compliance strategies. This role offers the opportunity to deliver key compliance functions, drive business-wide regulatory initiatives and best practice, and nurture the growth of both businesses. The opportunity arises for those seeking either a part-time role with anticipation of a gradual move to full-time dependent on business’s growth and expansion or applicants seeking full-time based subject to experience and fit with firms’ requirements. What are the key responsibilities? • Ensure compliance with regulatory requirements including Complaint Handling, Conduct of Business rules and Consumer Duty requirements across both firms. • Monitor the compliance policy frameworks to ensure they adhere to FCA expectations, ensuring timely updates, relevance, and alignment with regulatory requirements. Regularly review and enhance core compliance processes to ensure they remain effective and fit for purpose. • Oversee accurate preparation and submission of regulatory returns in line with reporting obligatio...