Head of Compliance (SMF16 & SMF17)

Perhaps you’re looking for your first Head of Compliance role?

Or perhaps you simply want to join a business with ambitious growth plans?

This is a great time to join this network of Mortgage and Financial Advisers that supports a growing community of Appointed Representatives whilst retaining the personal touch and feel of a small business.

The group also includes other regulated and unregulated entities, providing plenty of variety.

You’ll ensure the Compliance framework is continually developed, enhanced, and embedded while promoting a robust compliance culture throughout the business.

Your responsibilities will include:

1. Maintaining and implementing the T&C scheme.
2. Undertaking annual certification of advisers, fitness and propriety checks, and annual KPI reviews and skill assessments.
3. Acting as the Consumer Duty champion and PROD specialist.
4. Operating as the main point of contact for the FCA.
5. Providing day-to-day Compliance advice and guidance to the network.
6. Overseeing and onboarding Advisers and Appointed Representatives.

You’ll be an experienced senior Compliance specialist with wealth management and mortgage experience, ideally being qualified to CII Level 4 and holding the CeMAP qualification. Previous experience in an SMF16 capacity would be advantageous but is not essential.

The company is based in Gateshead, and you must be able to commute into the office a couple of times each week.

Does this sound like you? Are you up for the challenge?

If so, click apply and send over your CV.

Company: Growing Wealth, Mortgage and Protection Network

Location: North East Tyne & Wear

Workplace: Hybrid Working

Reference: 415156

To apply for this position, please click on the ‘Apply Now’ button or email your CV together with details of your current remuneration to info@willowresourcing.co.uk quoting reference 415156.