A leading London based wealth management is looking for a Head of Compliance to join the Executive Team as a CF10/11.
Managing a small team the role will report directly into the CEO.
Point of contact for the regulator, overseeing all reporting internally and externally.
Oversee marketing and promotions
Oversight of the investment team working closely with them to ensure compliance is considered and a top priority
Oversee staff training and guidance.
Skills & Experience:
Previously held a CF10/11
Broad compliance experience in a wealth manager or large IFA