At a Glance
- Tasks: Lead the Compliance team and enhance the Risk Management Framework in a dynamic environment.
- Company: Established UK wealth management firm with a focus on compliance and risk leadership.
- Benefits: Hybrid working, competitive salary, and opportunities for professional growth.
- Other info: Ideal for those looking to advance their career in a leadership position.
- Why this job: Step into a senior role and make a significant impact on compliance culture and governance.
- Qualifications: Senior compliance experience in wealth management and strong knowledge of FCA regulations.
The predicted salary is between 63000 - 77000 £ per year.
- Chief Risk Officer / Director of Compliance & Risk
- Sector: Wealth Management / Financial Advice
We are partnering with an established UK wealth and financial advice business to appoint a senior Compliance & Risk leader as part of its succession planning.
The role will take responsibility for the Compliance function and enterprise Risk Management Framework, working closely with the Managing Director, Executive Committee and Board.
Key Responsibilities
- Lead and develop the Compliance team.
- Own and enhance the enterprise Risk Management Framework.
- Oversee regulatory risk, compliance monitoring and governance.
- Maintain alignment with FCA requirements and Consumer Duty.
- Develop a strong, commercially minded and client focused compliance culture.
- Provide senior-level advice and challenge to the Executive Committee and Board.
About You
We are looking for an established compliance leader with
- Senior Compliance experience within wealth management, financial advice or an IFA network.
- Credible enterprise or operational risk management experience.
- Experience leading and developing Compliance teams.
- Strong knowledge of Consumer Duty, FCA regulation and governance.
- Confidence engaging with senior executives, Boards and regulators.
- A commercial, pragmatic and client focused approach.
This could particularly suit a Deputy Head of Compliance, Compliance Director, senior number two or Head of Compliance looking to step into a broader leadership position.
Director of Compliance & Risk in City of London employer: Actus Search
As a leading player in the wealth management sector, our company offers an exceptional work environment that fosters professional growth and development. With a strong emphasis on compliance and risk management, employees are encouraged to engage with senior leadership and contribute to a client-focused culture. Located in London, we provide a hybrid working model that promotes work-life balance while being part of a dynamic team dedicated to excellence in financial advice.
StudySmarter Expert Advice🤫
We think this is how you could land Director of Compliance & Risk in City of London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Actus Search looking for candidates who are engaged and informed.
We think you need these skills to ace Director of Compliance & Risk in City of London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Actus Search. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Actus Search
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Actus Search’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
