The Client

A rapidly expanding top 40 firm offering integrated Tax and Financial Planning services to their private clients through both established Accountancy and Financial Services divisions. Having already successfully grown to be a significant name in the market, this client now seeks to continue this growth to  a level that will require the appointment of a Compliance Director to their board.

The Opportunity

A multi-faceted role, your responsibilities will include:-

*     The provision of board level guidance and information, steering the company towards it's growth plans.
*     Ensuring that the business implements and maintains suitable systems and controls.
*     Management of Compliance staff and T&C Supervisors.
*     Implementing and maintaining risk based compliance procedures.
*     Review and deal with any complaints in accordance with relevant complaints handling rules.
*     Approval of all financial promotions
*     Carrying out CF10 and CF11 control functions.

The Individual

The company's growth has been achieved largely due to the knowledge, energy and abillity of it's staff. This role therefore requires a dynamic individual experienced in carrying out a Compliance and T&C role within a Financial Services organisation. Your experience should ideally include knowledge of TaxPlanning, Asset or Discretionary management and will also include CF10 and CF11 responsibilities.