Compliance/Operations Director - IFA
A Compliance and Operations Director position has arisen at a growing IFA. This dynamic fund management company wants to grow the business from strength to strength through acquisition and organically. This is a real opportunity for someone, who wants to be a part of this expansion and take the company forward. You will have come from an IFA background with ideally platform integration experience and have worked closely with a sales team.
Key Skills and Accountabilities:-
Strong operational knowledge with experience of implementing a platform consolidation project or something similar or someone with strong client reporting technology experience like money info or intelligent office portal.
To identify and manage the firm's exposure to regulatory, conduct and operational risk. Create and maintain an effective risk management framework.
To identify and manage the firm's exposure to Money Laundering and other Financial Crimes including Data Protection and Security. Act as the Data Protection Officer.
Support the Board in creating a robust, effective Governance Framework to support business growth and development and ensure effective decision making
Provide strategic direction in the delivery of the firm's corporate vision and strategy through effective risk management, systems and controls and identification of business opportunity.
Executive committee member to identify and manage exposure to risks due to business activities and decisions.
Develop and maintain a culture of positive behaviour which drives good outcomes for clients and business.
To develop, maintain and deliver the Training and Competence Strategy to ensure Financial Planners attain and maintain competence.
To lead, mentor and manage compliance, risk and operational teams to support the delivery of the firm's services and mitigation of risk.
Using a range of techniques manage all regulatory change projects within regulatory implementation deadlines.
Manage the relationship with the Financial Conduct Authority and other regulatory and legal bodies.
Understand and implement technology to support effective delivery of risk management role and deliver an enhanced service to clients.
Manage client complaints and disputes.
Knowledge and Skills:-
A minimum of 10 years experience in a senior management role within an IFA or Wealth Management firm
Previous CF10, CF11 experience
Must meet all requirements of FCA Fit and Proper test
Diploma or above in a Compliance and/or Risk qualification
A strong technical knowledge of retail investment products including investments, pensions and tax planning products. Attained a minimum Level 4 Qualification in Financial Planning
A strong awareness, knowledge and practical application of the regulatory framework and financial crime prevention.
Strong leadership capability and ability to communicate effectively with all stakeholders, build teams and develop strong capability to deliver strategy.
Proven experience of regulatory reviews and ability to mitigate regulatory risk
Intuitive and requires strong foresight to identify business opportunity and risk
Ability to keep an open mind and revolutionise industry practice
Strong change management capability
Strong conflict management ability
Ability to influence and negotiate at all levels to obtain best outcome for client and business.
Experience of managing resource, expenditure and financial budgets.
Ability to work under pressure, to timescales and manage multiple projects and tasks
Strong interpersonal skills to develop and maintain the trust of colleagues and clients
A confident, professional and pragmatic approach to all duties
This role could be either based in their Bristol or London office. Please send your CV in to Hayley at Incisive to find out more information.