Deputy Head of Compliance
Leeds
A leading wealth management firm wants a Deputy Head of Compliance to support the Head of Compliance and help lead the compliance function. You’ll also lead the function’s development, including Consumer Duty, vulnerable customers and the firm’s use of AI.
Responsibilities
- Deputise for the Head of Compliance across the compliance function
- Manage and develop a team of compliance professionals
- Lead work on Consumer Duty, vulnerable customer outcomes and the client proposition
- Shape and improve the compliance MI framework
- Help bring AI into the compliance function
- Act as a trusted adviser to senior stakeholders across the business
Requirements
- A background in wealth management or financial planning
- Broad, core compliance experience
- Experience managing or leading a team
- Strong knowledge of Consumer Duty and the FCA regulatory framework
- A forward-thinking approach and interest in using technology and AI in compliance
