Head of Assurance

Overview

Our client, an ambitious & growing adviser network, known for their inclusive & supportive culture, are looking to appoint a dynamic Head of Assurance to own, develop and enhance the framework for the appropriate oversight of the Appointed Representatives (ARs).

Responsibilities

• Lead, manage & deliver the assurance framework of first line controls for oversight of ARs.
• Oversee regulatory reporting as part of the oversight of ARs, including annual self-assessment.
• Develop & deliver continuous improvement initiatives to ensure assurance standards are aligned to FCA expectations & best practice.
• Implement & evolve an AR intelligence unit to identify trends and drive actionable insights.
• Represent & present at key governance groups across the firm.

Qualifications

The ideal candidate will have deep knowledge & understanding of the regulatory requirements and expectations for the oversight of ARs and have proven experience in leading teams whilst managing a budget of £2mil+; with the ability to engage and influence senior stakeholders.