Compliance Director

Forvis Mazars is anengine for rapid and consistent career progression, offeringindividually designed career paths with a culture to help youpursue your interests. We match your changing needs with hybridworking, and help you explore your true potential. We work withdiverse, prestigious clients across a range of sectors andgeographies, giving you the opportunity to constantly update andgrow your skills for lifelong professional development.

Forvis Mazars Financial Planning Ltd providesimpartial, tailored financial planning advice and wealthmanagement, working alongside our Tax and other professionalservice teams to:

• High Net WorthIndividuals
• Business Owner-Managers
• Trustees - Private and Charitable

We are one of the UK's leading, purely fee based,Independent Financial Advisers. We provide a full range offinancial planning services, from financial health checks to adviceabout investments, pensions, protection and tax planning.

We operate from 14 offices in the UK, employing over 130team members, and managing c£2.4b of client assets through our inhouse discretionary investment management service. We are part ofForvis Mazars LLP, a leading audit and advisory firm both in the UKand across the globe.

JobPurpose

Reporting directly to theCEO, and the Board, the Compliance Director will be responsible foroverseeing and managing the compliance function within the firm.This role ensures that the company adheres to all regulatoryrequirements and internal policies, fostering a culture ofcompliance and ethical behaviour. The Compliance Director will workclosely with senior management, advisors, and other stakeholders tomitigate risks and ensure the firm's operations align with FCAregulation, whilst fostering an environment conducive togrowth.

In addition to the above, the ComplianceDirector will also be required to provide compliance support,acting as SMF16 for the Forvis Mazars Corporate FinancePractice. The Compliance Director would be expected to attendand report into the Board on Compliance matters, and oversight thatregulatory returns are completed, certification and authorisationprocesses are completed properly, complaints are responded to inline with regulatory rules and any marketing material is compliant.This will form a small part of the overallposition.

Role &Responsibilities

• Holdthe positions of SMF16 and SMF17.
• Develop,implement, and maintain the firm's compliance policies andprocedures.
• Monitor and assess theeffectiveness of compliance controls and systems.
• Ensure the firm complies with all FCA regulations andother relevant legislation.
• Provide guidanceand support to senior management and advisors on compliance-relatedmatters.
• Lead the Compliance team foroperational effectiveness, and develop team members to fulfil theirpotential.
• Conduct regular compliance auditsand risk assessments.
• Manage and oversee thefirm's anti-money laundering (AML) and counter-terrorist financing(CTF) programs.
• Liaise with regulatory bodies,including the FCA, and respond to regulatory inquiries andinspections.
• Develop and deliver compliancetraining programs for staff.
• Stay up-to-datewith regulatory changes and industry best practices.
• Prepare and present compliance reports to the board ofdirectors and senior management.

Skills, Knowledge andExperience

• Experienceacting as SMF16 and SMF17 preferable, but not mandatory.
• Extensive experience in a compliance role within thefinancial services industry, preferably within the retail financialadvice arena.
• In-depth knowledge of FCAregulations and compliance requirements.
• Strong analytical and problem-solving skills.
• Excellent communication and interpersonalskills.
• Ability to work independently and aspart of a team.
• High level of integrity andethical standards.
• Drive/commitment as wouldbe expected of a senior member of an expanding professionalpractice

About Forvis Mazars

Forvis Mazars is a leading global professional servicesnetwork. The network operates under a single brand worldwide, withjust two members: Forvis Mazars LLP in the United States and ForvisMazars Group SC, an internationally integrated partnershipoperating in over 100 countries and territories.

We are one diverse, multicultural, multi-generational teamwith a huge sense of connection and belonging. This is a placewhere you can take ownership of your career, get involved, believein yourself and put your ideas into action.

At Forvis Mazars, we empower our people and celebrateindividuality. We thrive on teamwork and are agile. We have boldforesight and give people the freedom to make a personalcontribution to our shared purpose. We support one another todeliver quality, create change and have a deeper understanding, tohelp make an impact so that everyone can reach their fullpotential.

Our London office, based at 30Old Bailey, is at the heart of the UK's capital, close to CityThameslink station. We offer tailored services, leveraging ournational and international expertise to meet the unique needs ofbusinesses in this global hub.

Being inclusiveis core to our culture at Forvis Mazars; we want to ensureeveryone, whether in the recruitment process or beyond is fullysupported to be their unique self. To read more about ourapproach clickhere

Our aim is to make therecruitment process as accessible and inclusive as possible -please contact us to discuss any changes you may require so we canwork with you to support you throughout your application.

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