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We have been exclusively instructed by a niche Wealth Management business that is looking to hire a Head of Compliance on a part-time basis. The role requires someone with hands-on, generalist experience who has previously held SMF 16 & 17 within a similar business. The successful candidate will work closely with all elements of the business.
Main Responsibilities:
1. Oversee the compliance function of the UK business.
2. Complete FCA regulatory filings.
3. Manage the Compliance Monitoring Programme.
4. Review and approve new client onboarding KYC.
5. Review and approve financial promotions.
6. Support new business initiatives and projects with a compliance aspect.
7. Interpret and communicate regulatory changes to management and staff.
8. Draft and review internal policies and procedures.
9. Liaise with the FCA and other relevant bodies.
Job Requirements:
* Previous experience holding SMF 16 & 17 within a similar Wealth Management business.
* Strong knowledge of FCA rulebook, including AIFMD, UCITS, and Consumer Duty.
* Excellent analytical skills.
* Strong written and verbal communication skills.
Note: Candidates must have the right to work in the UK unless otherwise stated.
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