Bath
Compliance Director
Our client is a market leading consultancy in Bath that offers innovative advice to a range of businesses and individuals. The company specialises in corporate finance, business assurance, tax consultancy, and financial management and has offices across southern England and the Midlands.
This is a fantastic opportunity for a Compliance Director to join our rapidly expanding client who are offering a competitive salary, excellent benefits and a genuine prospects for progression and development.
The successful candidate will be responsible for; Communicating regulatory requirement to the Board and senior management and provide advice and guidance as required; Liaising with senior management to ensure that the business implements and maintains suitable systems and controls; Supporting the growth of the company and increase the levels of compliant profitable/solutions sales to clients which are transacted through the regulated firm and also to manage compliance staff, including performance appraisals and training and development.
Other responsibilities will include; Establish and build a relationship with the FSA to be proactive about current and future compliance requirements of the firm including preparation for any new products and processes or procedures; Ensure that the firm implements fully its risk-based compliance procedures; Ensure all T&C Supervisors regularly review the relevant Investment Advisers client files as required by the firm's Risk Plan; Review any complaints against the firm and investigate in accordance with relevant regulator's complaints handling rules and Ensure all staff are aware of the firm's complaints handling procedures.
Person Specification
The ideal candidate will be AFPC qualified or equivalent including J07 (supervision in a regulated environment). You will also have at least 3 years experience of performing or managing a wide variety of compliance work and an in depth understanding of the work conducted by the compliance function within an IFA environment.