Signature Selection are currently working with a successful and growing Firm of highly experienced Financial Planners with multiple offices in the area. Due to continued growth, they are now looking for a Level 4 Diploma qualified Compliance Director, reporting directly to the board. The compliance director will perform relevant duties in accordance with the requirements set out under SYSC and with responsibility for Compliance and Money Laundering, whilst overseeing all departments for Risk, Supervision, and Advice/Technical ability Along with good knowledge of the Financial Services industry, you must also have an In depth knowledge of the FCA rules on Approved Persons (APER)and Systems and Controls(SYSC) and hold Level 4qualification whilst also having detailed knowledge of FCA AML requirements and JMLSGGuidance Role duties Compliance Monitoring, Management of Paraplanning and Administration Team System and Controls Selling Practices Complaints Handling Financial Promotion PII Recruitment Training and Competence Briefly you will be: Ensuring that the firm continues to meet its threshold conditions(COND). Provide leadership, for example by making the fair treatment of customers central to the behaviour and values of thefirm. Instilling a compliance culture within thefirm Ensure business decisions and priorities are aligned with theTCF principles. Ensure the firm has the right controls in place and that these are being used. Comply at all times with the relevant Compliance and Training and Competence procedures of the firm. Oversee recruitment and training and competence and the reward structure to ensure that treating customers fairly is important part of staff behaviour and development. Comply at all times with the requirements of the FSMA 2000 andFCA principles rules and code for approved persons(APER). Ensure other relevant legislation is considered including - the Companies Act 2006/Partnership Act, the Data Protection Act, the Disability Discrimination Act, the Sex Discrimination Act, the Race Relation Act and other European Directives. Oversight to ensure the delegation of responsibilities has been properly recorded. Oversight to ensure the responsibilities are reviewed and reallocated if necessary if there is any change in senior management and that this process is documented and any revised reporting structure re-issued to all staff. Keep up to date with relevant legislation and regulatory developments If you are interested in this role and to have a discreet conversation, please contact Stephen Smith at Signature Selection Ltd