Director of Risk and Safety providing safety and compliance oversight for senior living communities. Ensuring high - quality operations through safety programs and regulatory compliance.
About the role
- Head of Compliance leading the compliance function across Attivo's IFA business. Responsible for ensuring advice, operations, and culture meet regulatory standards.
Responsibilities
- Lead and develop the Compliance team, ensuring strong capacity planning, robust performance management, and continuous improvement.
- Maintain and enhance the Compliance Monitoring Programme, ensuring effective risk identification, audit trails, and follow-up.
- Act as the first point of contact for the FCA, managing regulatory returns, thematic reviews, and ad hoc requests.
- Provide expert advice on FCA regulations (PRIN, COBS, SYSC, SM&CR), AML and financial crime, and relevant legislative changes.
- Develop and maintain compliance policies, manuals, and procedures, ensuring they are regularly reviewed and embedded.
- Deliver training and awareness programmes across the business to promote regulatory understanding and a culture of compliance.
- Monitor adviser activity including onboarding, file checks and complaints handling, ensuring suitability of advice and consumer duty oversight.
- Work with internal stakeholders and external compliance partners to ensure alignment, value for money and best practice.
- Provide regular reporting and insight to the CRO, Executive Team and Board, highlighting emerging risks and strategic implications.
- Support firmwide change initiatives, acquisitions and projects with appropriate compliance input.
- Review and approve marketing material and client communications.
Requirements
- Previous experience in a compliance leadership role within a Financial Planning firm
- Detailed and current knowledge of FCA regulation and financial crime legislation
- Experience with compliance monitoring, risk frameworks and regulatory reporting
- Strong stakeholder management and communication skills
- Proven ability to lead and develop high-performing teams
- Analytical thinker with excellent attention to detail
- Highly organised, self-motivated and able to work under pressure
- Advanced Diploma in Financial Planning (Level 6)
Benefits
- Non-contributory Pension Scheme (8%)
- Private Medical Insurance
- Income Protection
- Critical Illness
- Death in Service
- CashPlan
- Generous holiday allowance, rising with length of service
- Work from home and flexible working available
- Parking allowance for employees who live over 1.5 miles away from the office
- Excellent culture, promoting employee wellbeing and engagement
Job title
Job type
Experience level
Salary
Degree requirement
Location requirements
Sr. Ethics, Risk and Compliance Specialist in F5's Compliance team ensuring adherence to compliance standards and driving data analytics initiatives.
Senior Director overseeing global regulatory policy and advocacy strategies for neuroscience at Lilly. Engage externally and influence regulatory outcomes to improve patient care and drug development.
Customs Regulatory Specialist - Senior managing compliance with customs regulations for FedEx. Acting as liaison with authorities and developing policies and standards for compliance.
Quality & Compliance Manager leading quality assurance and regulatory compliance for cloud - native software platform. Ensuring software development meets GxP and FDA regulatory requirements.
Regulatory Affairs Specialist managing product regulatory compliance and submission processes. Collaborating with teams to ensure adherence to regulatory requirements and supporting product approvals.
Data Compliance Analyst at BDO partnering with stakeholders to enhance data compliance and privacy practices. Delivering compliance initiatives and frameworks across various business processes.
Director, Regulatory Affairs Strategy overseeing regulatory strategy and product approvals for Alcon. Leading regulatory teams and ensuring compliance across Alcon’s franchise portfolios.
Merchant Acquiring Risk & Compliance Manager ensuring compliance with card network rules for merchant acquiring and PayFac programs. Collaborating across teams for compliance and risk management.
Trade Compliance Analyst responsible for risk activities in energy trading compliance. Ensuring counterparties are onboarded in accordance with regulatory standards.