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Blakemore Recruitment

Head of Compliance

January 14, 2020
North West London
Job Type
£85,000 Basic Plus Package


We are currently recruiting for a highly regarded and prestigious financial planning organisation who are looking for a key hire in their business. They require a Compliance Manager to head up the Compliance Function and report directly into the board.  The key functions of this role are:

  • Acting as the Group’s Money Laundering Reporting Officer and holding the CF11 controlled function.
  • Preparation of the ICAAP and monitoring of financial resources
  • Preparation and implementation of a comprehensive compliance monitoring programme to monitor the Group’s adherence to the FCA rule book and guidance along with other regulatory matter such as data protection
  • Overseeing and monitoring client money and assets activities
  • Monitoring the Group’s appointed representatives
  • Overseeing the completion of GABRIEL reporting
  • Implementing the Group’s training and competence procedure and supervising adviser and discretionary managers in accordance with FCA’s training and competence requirements.
  • Providing training to staff as required on anti-money laundering requirements, complaints and any other regulatory matters as required
  • Reviewing and approving the Group’s financial promotions
  • Drafting and reviewing compliance procedures and disclosure documents, processes and templates as required.


This is a key hire to the group and will involve key responsibilities in dealing with all regulatory requirements. There is a small internal team to manage as well as managing any and all external consultants employed by the firm.

This is an excellent opportunity to join a prestigious, growing business and have a direct influence in it’s future direction.

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