At a Glance
- Tasks: Lead compliance efforts and ensure adherence to FCA regulations in a dynamic wealth management firm.
- Company: Join a leading independent financial adviser firm with a strong compliance culture.
- Benefits: Competitive salary of c.£85,000+, plus benefits and home-based flexibility.
- Other info: Opportunity for professional growth and impact in a fast-paced environment.
- Why this job: Influence strategic decisions and safeguard the firm's regulatory standing in a key leadership role.
- Qualifications: Proven senior compliance experience and understanding of FCA regulations required.
The predicted salary is between 60000 - 80000 £ per year.
Our client is a leading wealth management firm who are looking for a Head of Compliance to join a growing and dynamic Independent Financial Adviser firm. This is a key leadership position responsible for overseeing the compliance framework, ensuring adherence to FCA regulations, and embedding a strong compliance culture across the business. This role offers the opportunity to work closely with senior leadership, influence strategic decisions, and play a pivotal role in safeguarding the firm’s regulatory standing.
Role & Responsibilities:
- Lead and manage the firm’s compliance and regulatory framework, ensuring alignment with FCA requirements
- Act as the primary point of contact for regulatory bodies, including the Financial Conduct Authority (FCA)
- Oversee monitoring, audits, and compliance reviews across advisory and operational functions
- Provide expert guidance on regulatory developments, including Consumer Duty and ongoing FCA policy changes
- Develop, implement, and maintain policies, procedures, and controls
- Produce and present Management Information (MI) and compliance reports to the Board
- Support and challenge advisers to ensure client outcomes meet regulatory and ethical standards
- Lead training and competence programmes to ensure staff remain fully compliant
- Investigate and resolve compliance breaches, complaints, and incidents
Do you have the following to apply?
- Proven experience in a senior compliance role within an IFA / wealth management / financial planning firm
- Strong understanding of FCA regulations, including Consumer Duty, TCF, and SM&CR
- Hold the Level 4 Diploma in Financial Planning as a minimum
- Previous experience holding or supporting SMF16 (Compliance Oversight) or similar controlled function is desirable but not essential
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted. Clayton Davies is acting as an employment agency on behalf of our client.
Head of Compliance in Warrington employer: Clayton Davies
As a leading wealth management firm, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee growth and development. Our home-based role for the Head of Compliance not only offers a competitive salary and benefits package but also provides the unique opportunity to influence strategic decisions at the highest level while ensuring compliance excellence across the organisation. Join us to be part of a team that values integrity, collaboration, and the pursuit of regulatory excellence.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance in Warrington
✨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 Clayton Davies looking for candidates who are engaged and informed.
We think you need these skills to ace Head of Compliance in Warrington
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 Clayton Davies. 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 Clayton Davies
✨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 Clayton Davies’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
