At a Glance
- Tasks: Lead and develop high-performing compliance teams in a dynamic wealth management environment.
- Company: A respected UK wealth management firm prioritising compliance as a strategic partner.
- Benefits: Influential leadership role with exposure to senior stakeholders and career growth opportunities.
- Other info: Join a growing adviser network and drive effective FCA-compliant supervision.
- Why this job: Shape regulatory oversight and make a real impact in the financial advice sector.
- Qualifications: Level 4 Diploma in Financial Planning and significant compliance leadership experience required.
The predicted salary is between 70000 - 90000 £ per year.
Are you an experienced Compliance leader with a deep understanding of the FCA regulatory landscape and the financial advice sector? A leading UK wealth management and advice business is seeking a Senior Compliance Manager to play a pivotal role in shaping and overseeing compliance, supervision, risk management and regulatory oversight across a nationwide network of financial advice firms.
Reporting directly to the Chief Risk Officer, this is a highly visible leadership role with responsibility for managing supervisory, quality & risk, and central compliance teams while driving a robust, risk-based compliance framework.
What you'll be doing:
- Leading and developing high-performing Compliance, Supervision and Risk teams
- Driving effective FCA-compliant supervision across a national adviser network
- Acting as a senior escalation point for regulatory and business-critical matters
- Identifying emerging risks and implementing appropriate controls
- Overseeing T&C schemes, file reviews, KPI monitoring and financial promotions approval
- Influencing senior stakeholders and contributing to strategic regulatory initiatives
- Owning key compliance policies and supporting FCA notifications and reporting
What we're looking for:
- Level 4 Diploma in Financial Planning (minimum)
- Significant compliance leadership experience within wealth management, financial planning, investment or insurance environments
- Strong working knowledge of FCA regulations and supervisory requirements
- Experience supporting or overseeing Financial Adviser networks / Appointed Representatives
- Exceptional stakeholder management, coaching and people leadership skills
Desirable:
- Advanced Diploma (Level 6) and progression towards Chartered status
- Specialist qualifications across pensions, mortgages, equity release or investments
- Additional risk management or compliance qualifications
This is an opportunity to join a highly respected organisation where compliance is viewed as a strategic business partner rather than a support function. You'll have genuine influence, senior stakeholder exposure, and the chance to shape regulatory oversight across a growing adviser network.
Head of Compliance in Guildford employer: Hanover
Hanover is an excellent employer, offering a dynamic work environment where innovation and collaboration thrive. With a strong focus on employee growth, we provide opportunities for professional development and the chance to work closely with senior management on impactful projects. Located in a vibrant area, our office culture promotes teamwork and inclusivity, making it a rewarding place to advance your career in capital modelling.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance in Guildford
✨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 Hanover looking for candidates who are engaged and informed.
We think you need these skills to ace Head of Compliance in Guildford
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 Hanover. 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 Hanover
✨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 Hanover’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
