About the job Head of Compliance (SMF-16)

Bond recruitment is delighted to be recruiting for a Compliance Officer on behalf of our client, a very well established and well respected firm of Independent Financial Advisers based in Altrincham. The Head of Compliance is responsible for overseeing and managing the compliance function within an organisation, ensuring that the company and its employees are adhering with internal policies and procedures and also with regulatory requirements.

Compliance Responsibilities

• Lead and implement all regulatory change projects
• Complete all ongoing FCA reporting returns
• Maintain data on FCA directory
• Act as key liaison point for all FCA supervisory and thematic reviews and complete all associated action plans
• Completion of annual PII renewal, working closely with PII broker to secure compliant insurance cover
• Complete file reviews for Mortgage and Investment Advis...