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 from Deputy Head of Compliance or similar roles.
- Why this job: Step into a senior leadership role and make a significant impact on compliance culture.
- 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.
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