At a Glance
- Tasks: Lead compliance, risk, and financial crime while managing regulatory reporting and training.
- Company: Established financial planning and wealth management business with a strategic focus.
- Benefits: Competitive salary, discretionary bonus, equity options, and flexible working arrangements.
- Other info: Hands-on role with opportunities for professional growth and development.
- Why this job: Gain senior leadership experience with Board-level exposure in a dynamic environment.
- Qualifications: Experience in IFA or wealth management, with strong FCA and compliance knowledge.
The predicted salary is between 80000 - 85000 £ per year.
Location: Remote with monthly travel
Salary: £80,000 to £85,000
An established financial planning and wealth management business is looking to appoint a Head of Compliance to take on SMF16 and SMF17 responsibility. The perfect blend between a strategic and hands-on role. This is a senior, highly visible role reporting to the Managing Director, with an independent escalation line into the Chair.
You will lead compliance, risk and financial crime while remaining hands-on across:
- File checks
- Monitoring
- Training
- FCA returns
- Policies
- Regulatory reporting
Your responsibilities will include:
- Hold SMF16 and SMF17 responsibility
- Lead compliance, risk and financial crime
- Act as MLRO
- Own the compliance monitoring plan
- Report to the Board and senior management
- Manage FCA correspondence, returns and regulatory change
- Oversee risk registers, controls, incidents and governance
- Support financial promotions, complaints, SMCR and certification
- Provide compliance input into future M&A activity
You will get:
- A senior leadership role with Board-level exposure
- A broad remit across compliance, risk, financial crime and governance
- £80,000 to £85,000, with flexibility for the right person
- Discretionary bonus, employee options and wider benefits
- Equity options
You will bring:
- Experience in an IFA, wealth management or financial planning business
- Current or previous SMF16 and SMF17 experience preferred
- Strong FCA, SMCR, compliance monitoring and financial crime knowledge
- MLRO experience or strong financial crime oversight
- Confidence reporting to and challenging senior stakeholders
- A hands-on approach across file checks, monitoring, training and returns
- Strong commercial judgement and a practical approach to compliance
Apply now to be considered for the opportunity.
Head of Compliance employer: BWD Search & Selection
Join a forward-thinking financial planning and wealth management firm that values strategic leadership and hands-on involvement in compliance and risk management. With a competitive salary of £80,000 to £85,000, along with discretionary bonuses and equity options, this role offers not only significant financial rewards but also the chance to influence key decisions at the Board level. Embrace a culture that prioritises employee growth and development, all while enjoying the flexibility of remote work and the opportunity for monthly travel.
Contact Details:
BWD Search & Selection Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance
✨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 BWD Search & Selection looking for candidates who are engaged and informed.
We think you need these skills to ace Head of Compliance
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 BWD Search & Selection. 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 BWD Search & Selection
✨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 BWD Search & Selection’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
