At a Glance
- Tasks: Lead compliance and governance in a dynamic wealth management firm.
- Company: Established wealth management business with a focus on financial planning and investment management.
- Benefits: Competitive salary, flexible working hours, and opportunities for career progression.
- Other info: Senior role with potential for broader responsibilities and occasional travel to London.
- Why this job: Shape compliance strategies while making a real impact in the financial services sector.
- Qualifications: CII Chartered status and senior compliance experience in regulated financial services required.
The predicted salary is between 75000 - 87500 £ per year.
This is a senior opportunity for an experienced compliance professional who wants a broad remit across both financial planning and investment management, with the potential to take on greater regulatory responsibility as the role develops. You will join an established wealth management business looking for someone who can provide robust oversight while taking a practical approach to compliance — protecting the firm and its clients without unnecessarily restricting how the business operates.
The Business
The business operates across both financial planning and investment management, providing a varied regulatory environment and a broader remit than a role focused solely on financial advice. There is already compliance resource in place, so this appointment will sit above the existing function, providing senior oversight and helping shape the firm's approach to compliance and governance.
The Role
You will take senior responsibility for compliance and governance across both sides of the business. Your remit will include:
- Oversight and management of the compliance function
- Governance across financial planning and investment management
- Developing and maintaining compliance policies and processes
- RMAR submissions and FCA reporting
- Providing practical regulatory guidance across the business
Depending on your experience and interests, there may also be scope for the position to broaden beyond the core compliance function. One area discussed is supporting improvements to report-writing standards within the financial planning team. The longer-term intention is for the successful person to work towards taking SMF16/17 responsibility, potentially within approximately 12 months, subject to the individual and the relevant regulatory approvals.
What they are looking for
CII Chartered status is essential for this position. You will need senior compliance experience within regulated financial services and the ability to apply regulation in a practical, commercially aware way. Experience or exposure to investment management would be particularly useful. Previous experience within financial advice or another commercially focused role would also be beneficial, giving you an understanding of the balance between effective regulatory oversight and the realities of running a financial services business.
Benefits
- £75,000–£87,500 FTE
- Four or five-day working week available
- Salary pro rated for a four-day week — approximately £60,000–£70,000
- Opportunity to progress towards SMF16/17 responsibility
- Scope for the role to broaden over time
- Senior position spanning both financial planning and investment management
Given the seniority of the appointment, regular office presence in the Bristol area will be important. There will also be occasional travel to London.
Applying
If you are an experienced compliance professional looking for a senior position with a broad remit and the opportunity to take on greater regulatory responsibility, apply today or contact Finlink for a confidential conversation.
Head of Compliance & Governance in Bristol employer: Finlink Ltd Careers
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StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance & Governance in Bristol
✨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 Finlink Ltd Careers looking for candidates who are engaged and informed.
We think you need these skills to ace Head of Compliance & Governance in Bristol
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 Finlink Ltd Careers. 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 Finlink Ltd Careers
✨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 Finlink Ltd Careers’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
