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For Companies At a Glance
- Tasks: Lead compliance and risk functions, mentor a team, and ensure regulatory adherence.
- Company: Join a leading Financial Planning firm focused on client excellence and growth.
- Benefits: Enjoy hybrid work, performance incentives, health insurance, and 25 days holiday.
- Why this job: Shape compliance strategy in a dynamic environment that values innovation and professional development.
- Qualifications: Proven leadership in compliance, extensive FCA knowledge, and Level 5 or higher qualifications required.
- Other info: This is a rare chance for a senior role with autonomy and impact.
The predicted salary is between 43200 - 72000 £ per year.
We are partnered with a leading Financial Planning firm seeking an experienced and strategic Head of Compliance & Risk to lead their compliance function. This is an exceptional opportunity for a seasoned professional to shape compliance strategy, mentor a talented team, and drive regulatory excellence in a dynamic, client-focused environment.
As the Head of Compliance & Risk, you will take full ownership of the firm’s compliance and risk functions. You’ll be instrumental in ensuring regulatory adherence while fostering a culture of ethical excellence and continuous improvement.
Key Responsibilities
- Leadership & Mentorship: Lead and inspire the compliance team, including mentoring the Compliance Manager and junior staff to enhance their skills and effectiveness.
- Strategic Oversight: Develop and oversee the Compliance Monitoring Programme, ensuring alignment with evolving regulatory requirements and business objectives.
- Risk Management: Lead risk assessments, including AML evaluations and enhanced due diligence for new and existing clients.
- Regulatory Expertise: Ensure compliance with FCA regulations, including TCF, SMCR, and financial crime policies. Provide expert guidance on regulatory developments.
- Complaints Management: Take responsibility for the complaints process, ensuring timely and compliant resolution of issues.
- Training & Development: Create and implement compliance training programs for all staff, fostering a culture of regulatory awareness and excellence.
- Audit & Reporting: Conduct internal audits, produce compliance reports for senior management and regulators, and oversee Management Information (MI) reporting.
- Decision-Making Authority: Handle escalated compliance matters and approve high-risk business cases.
What You’ll Bring
- Leadership Experience: Proven ability to lead and mentor teams in a compliance or risk management setting.
- Regulatory Expertise: Extensive knowledge of FCA regulations, AML requirements, and financial planning products.
- Professional Qualifications: Level 5 or higher qualification (Chartered status preferred).
- Analytical Skills: Strong problem-solving abilities with a track record of effective risk mitigation.
- Communication Excellence: Confident in presenting compliance updates to senior stakeholders and regulators.
- Organisational Strength: Highly detailed and capable of managing multiple priorities effectively.
What’s in It for You?
- Performance-Based Incentives: Rewards and salary increments based on results.
- Work-Life Balance: Hybrid working arrangements and negotiable hours.
- Pension scheme with 5.5% employer contributions.
- Health and life insurance, income protection, and critical illness cover.
- 25 days holiday plus statutory holidays, increasing with service length.
- Free parking and a supportive work environment.
This is a rare opportunity to step into a senior leadership role at a firm committed to excellence and growth. You’ll have the autonomy to shape compliance strategy, mentor a talented team, and contribute to a dynamic, client-focused organization that values professional development and innovation.
Seniority level: Mid-Senior level
Employment type: Full-time
Job function: Accounting/Auditing, Consulting, and Finance
Contact Detail:
Burton Recruitment Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance & Risk
✨Tip Number 1
Network with professionals in the compliance and risk management field. Attend industry events, webinars, or local meetups to connect with others who may have insights into the role or the company. Building relationships can often lead to referrals or insider information that could give you an edge.
✨Tip Number 2
Stay updated on the latest FCA regulations and compliance trends. Subscribe to relevant newsletters or follow thought leaders on social media. Demonstrating your knowledge of current regulatory changes during interviews can showcase your commitment and expertise in the field.
✨Tip Number 3
Prepare to discuss your leadership style and experiences in mentoring teams. Think of specific examples where you've successfully led a compliance initiative or improved a process. This will help you convey your suitability for the leadership aspect of the role.
✨Tip Number 4
Research the company’s culture and values. Understanding their approach to compliance and risk management will allow you to tailor your discussions and demonstrate how your vision aligns with theirs. This can significantly enhance your appeal as a candidate.
We think you need these skills to ace Head of Compliance & Risk
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your leadership experience and regulatory expertise. Focus on specific achievements in compliance and risk management that align with the job description.
Craft a Compelling Cover Letter: In your cover letter, emphasise your strategic oversight capabilities and your approach to mentoring teams. Use examples from your past roles to demonstrate how you have successfully led compliance functions.
Showcase Relevant Qualifications: Clearly list your professional qualifications, especially if you hold a Level 5 or higher qualification. Mention any relevant certifications that showcase your expertise in FCA regulations and AML requirements.
Prepare for Potential Questions: Anticipate questions related to your experience with regulatory compliance and risk management. Be ready to discuss specific instances where you successfully mitigated risks or improved compliance processes.
How to prepare for a job interview at Burton Recruitment Limited
✨Showcase Your Leadership Skills
As a Head of Compliance & Risk, your ability to lead and mentor is crucial. Prepare examples of how you've successfully led teams in the past, focusing on your mentoring style and the outcomes achieved.
✨Demonstrate Regulatory Knowledge
Familiarise yourself with FCA regulations and recent developments in compliance. Be ready to discuss how these regulations impact the firm and share your insights on best practices for adherence.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world situations. Think of specific instances where you managed risk assessments or resolved compliance issues, and be prepared to explain your thought process.
✨Highlight Your Communication Skills
Effective communication is key in this role. Be prepared to discuss how you present compliance updates to senior stakeholders and regulators, and provide examples of how you've handled complex discussions in the past.
