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- Tasks: Lead the Compliance team and ensure adherence to FCA regulations.
- Company: Join a renowned financial planning and wealth management firm.
- Benefits: Enjoy a dynamic work environment with opportunities for professional growth.
- Why this job: Make a real impact on compliance culture while working with industry leaders.
- Qualifications: Must have experience as an SM16 in wealth or financial planning.
- Other info: Ideal for proactive individuals passionate about regulatory compliance.
The predicted salary is between 54000 - 84000 £ per year.
MERJE is currently working exclusively with a well known financial planning and wealth management business in their search for a Interim Head of Compliance & Risk.
The role holder will hold the SMF16 & 17 for the business.
- Manage the Compliance team and co-ordinate regular management information
- Ensure full compliance with the FCA’s Consumer Duty by embedding consumer-focused governance across all levels
- Keep up to date with developments that may affect the compliance and risk of the group
- Advise senior management in a timely manner of FCA related and other regulatory issues and any changes to the FCA rules.
- Produce an annual compliance report for senior management.
- Ensure the business has adopted a risk-based approach to compliance monitoring.
- Review the activities of the firm on an on-going basis to ensure they are undertaken adequately and meet all relevant requirements.
- Ensure that any financial promotions are approved in accordance with FCA rules.
Key Requirements:
- Operated as an SM16 within a wealth or financial planning environment
- Strong team leadership skills
- Excellent understanding of regulatory requirements, industry best practices and emerging risks – relevant to the wealth management sector
- Good knowledge of policies, controls and monitoring required to enable positive consumer outcomes
- Effective communication skills to advise stakeholders across all levels
- Proactive, self-supportive, and motivated in fostering a positive compliance culture
Interim Head of Compliance - Wealth employer: MERJE
Contact Detail:
MERJE Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Interim Head of Compliance - Wealth
✨Tip Number 1
Make sure to stay updated on the latest FCA regulations and compliance requirements specific to the wealth management sector. This knowledge will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 2
Network with professionals in the compliance and risk management field, especially those who have experience in wealth management. Engaging with industry peers can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Prepare to discuss your leadership style and how you've successfully managed compliance teams in the past. Highlight specific examples where your leadership made a positive impact on compliance culture.
✨Tip Number 4
Familiarize yourself with the company's values and mission. Tailoring your discussions to align with their goals will show that you're not just looking for any job, but that you're genuinely interested in contributing to their success.
We think you need these skills to ace Interim Head of Compliance - Wealth
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description for the Interim Head of Compliance position. Understand the key responsibilities and requirements, especially regarding the SMF16 & 17 roles.
Highlight Relevant Experience: In your CV and cover letter, emphasize your experience in compliance and risk management within the wealth or financial planning sector. Provide specific examples of how you've successfully managed compliance teams and ensured adherence to regulatory requirements.
Showcase Leadership Skills: Demonstrate your strong team leadership skills in your application. Mention any previous roles where you led a compliance team, focusing on how you fostered a positive compliance culture and communicated effectively with stakeholders.
Tailor Your Application: Customize your CV and cover letter to reflect the language and priorities mentioned in the job description. Use keywords related to FCA regulations, consumer duty, and risk-based compliance monitoring to align your application with the company's needs.
How to prepare for a job interview at MERJE
✨Showcase Your Regulatory Knowledge
Make sure to demonstrate your deep understanding of FCA regulations and how they apply to the wealth management sector. Be prepared to discuss recent changes in regulations and how they could impact the business.
✨Highlight Leadership Experience
Since the role requires strong team leadership skills, share specific examples of how you've successfully led compliance teams in the past. Discuss your approach to fostering a positive compliance culture within your team.
✨Prepare for Scenario-Based Questions
Expect questions that assess your ability to handle real-world compliance challenges. Prepare scenarios where you had to advise senior management on regulatory issues or implement compliance measures effectively.
✨Communicate Effectively
Effective communication is key in this role. Practice articulating complex compliance concepts in a clear and concise manner, as you will need to advise stakeholders at all levels of the organization.
