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- Tasks: Lead compliance for a fast-growing financial planning business and shape its future.
- Company: Innovative FCA-regulated firm with a strong compliance culture and exciting growth.
- Benefits: Competitive salary, career development, and the chance to make a real impact.
- Other info: Join a purpose-driven company committed to sustainable growth and positive impact.
- Why this job: Be a key player in a dynamic environment and drive compliance as a business enabler.
- Qualifications: Senior compliance experience in FCA-regulated firms and relevant qualifications required.
The predicted salary is between 80000 - 100000 £ per year.
A standout opportunity to take full ownership of the compliance function at one of the UK's most innovative and purpose-driven financial planning businesses at a genuinely exciting moment in their growth story. Our client is a fast-growing, FCA-regulated financial planning business backed by a well-capitalised, market-leading group. They operate with a strong compliance culture and have recently completed a significant acquisition that has expanded both their client base and regulatory footprint. The compliance function is lean, well-resourced and respected at board level. They've invested meaningfully in their regulatory infrastructure and expect their Head of Compliance to be a genuine business enabler and senior voice across the organisation. Reporting directly to the Chief Risk Officer and working closely with the board, you will hold the SMF16 function and take full accountability for the firm's compliance framework. Further headcount growth planned.
Key Responsibilities
- Holding and fulfilling the SMF16 function under SMCR, with FCA approval required
- Owning and evolving the compliance monitoring framework across financial advice, investments and platform operations
- Taking accountability for financial promotions oversight
- Leading compliance integration workstreams following a recent acquisition
- Acting as the primary liaison with the FCA and relevant regulatory bodies
- Overseeing SMCR obligations across the business, including SMF16 and SMF17 holders within the team
- Board and Risk Committee reporting, horizon scanning and regulatory change implementation
- Supporting the wider build-out of the compliance team
Experience Required
- Proven senior compliance experience within an FCA-regulated firm, ideally with exposure to financial advice, wealth management or investment platforms
- Strong working knowledge of Consumer Duty, MiFID conduct requirements and SMCR
- Previous experience holding or deputising for an SMF16 function, or a demonstrable readiness to step into it
- CII Level 4 or equivalent pension and investment advice qualification required
- Technically strong but equally comfortable operating in a fast-moving, technology-led environment
- A decisive, commercially-aware operator, someone who can make confident decisions and bring people with them
- The business moves quickly, expects its senior leaders to pivot when needed and values those who see compliance as an opportunity to build something great rather than simply maintain it.
Head of Compliance | SMF16 | Wealth Management employer: Coopman Search and Selection | B Corp™
Contact Detail:
Coopman Search and Selection | B Corp™ Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance | SMF16 | Wealth Management
✨Tip Number 1
Network like a pro! Get out there and connect with industry professionals on LinkedIn or at events. We all know that sometimes it’s not just what you know, but who you know that can land you that dream job.
✨Tip Number 2
Prepare for interviews by researching the company inside out. Understand their compliance culture and recent developments, especially post-acquisition. We want you to show them you’re not just another candidate, but someone who genuinely gets their mission.
✨Tip Number 3
Practice your pitch! Be ready to articulate how your experience aligns with the SMF16 function and the specific needs of the role. We believe in showcasing your strengths confidently, so don’t hold back!
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets the attention it deserves. Plus, we love seeing candidates who take the initiative to engage directly with us.
We think you need these skills to ace Head of Compliance | SMF16 | Wealth Management
Some tips for your application 🫡
Tailor Your CV: Make sure your CV speaks directly to the role of Head of Compliance. Highlight your experience in FCA-regulated firms and any relevant qualifications like CII Level 4. We want to see how your background aligns with our needs!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how you can be a business enabler at StudySmarter. Show us your personality and what makes you the perfect fit for our team.
Showcase Your Compliance Knowledge: We’re looking for someone who knows their stuff! Make sure to mention your understanding of Consumer Duty, MiFID conduct requirements, and SMCR. This will demonstrate that you’re ready to hit the ground running in our fast-paced environment.
Apply Through Our Website: Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for this exciting opportunity. We can’t wait to see what you bring to the table!
How to prepare for a job interview at Coopman Search and Selection | B Corp™
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of Consumer Duty, MiFID conduct requirements, and SMCR. Being able to discuss these topics confidently will show that you're not just technically strong but also ready to take on the SMF16 function.
✨Showcase Your Leadership Skills
Prepare examples of how you've led compliance initiatives in the past. Highlight your experience in integrating compliance frameworks post-acquisition and how you've acted as a liaison with regulatory bodies. This will demonstrate your ability to be a senior voice across the organisation.
✨Emphasise Your Business Acumen
The company values leaders who see compliance as an opportunity rather than a hurdle. Be ready to discuss how you've made confident decisions that align compliance with business goals, showcasing your commercial awareness and ability to pivot in a fast-moving environment.
✨Engage with the Company’s Vision
Research the company's recent acquisition and their growth story. Show genuine interest in their purpose-driven approach and how you can contribute to building a strong compliance culture that supports their innovative financial planning services.