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- Tasks: Lead the compliance function and ensure regulatory excellence in a fast-growing financial planning business.
- Company: Innovative FCA-regulated firm with a strong compliance culture and exciting growth opportunities.
- Benefits: Competitive salary, career development, and the chance to shape compliance strategy.
- Other info: Dynamic environment with plans for team expansion and a focus on building something great.
- Why this job: Be a key player in a purpose-driven company and make a real impact on compliance.
- Qualifications: Senior compliance experience in FCA-regulated firms and strong knowledge of relevant regulations.
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
- 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 in Slough 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 in Slough
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and wealth management sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by researching the company inside out. Understand their compliance culture and recent developments, especially post-acquisition. This will help you demonstrate how you can be a genuine business enabler and fit right into their team.
✨Tip Number 3
Showcase your expertise! Be ready to discuss your experience with SMCR, Consumer Duty, and MiFID conduct requirements. Use real-life examples to illustrate how you've successfully navigated compliance challenges in the past.
✨Tip Number 4
Don’t forget to apply through our website! We’ve got loads of opportunities that might just be the perfect fit for you. Plus, it’s a great way to ensure your application gets the attention it deserves.
We think you need these skills to ace Head of Compliance | SMF16 | Wealth Management in Slough
Some tips for your application 🫡
Tailor Your CV: Make sure your CV speaks directly to the role of Head of Compliance. Highlight your experience with FCA regulations and any previous SMF16 roles you've held. 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 in wealth management and how you can be a business enabler at StudySmarter. Keep it engaging and relevant to the job description.
Showcase Your Decision-Making Skills: In your application, don’t shy away from sharing examples of how you've made confident decisions in fast-paced environments. We value leaders who can pivot and adapt, so let us know how you've done this in the past!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you’re considered for this exciting opportunity at StudySmarter!
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 the SMCR, Consumer Duty, and MiFID conduct requirements. 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 ability to make confident decisions and bring people along with you. This role is about being a business enabler, so demonstrate how you've done this before.
✨Understand the Business Landscape
Research the company’s recent acquisition and how it impacts their compliance framework. Showing that you understand their growth story and can see compliance as an opportunity will set you apart from other candidates.
✨Be Ready for Fast-Paced Questions
Since the business operates in a fast-moving environment, be prepared for questions that assess your adaptability. Think of scenarios where you've had to pivot quickly and how you managed those changes effectively.