Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Lead compliance efforts and mentor a small team while ensuring regulatory standards are met.
- Company: Join a dynamic firm focused on fostering a strong compliance culture in financial planning.
- Benefits: Enjoy flexible part-time hours, allowing you to structure your work week to fit your lifestyle.
- Why this job: This role offers leadership opportunities and the chance to make a real impact in compliance.
- Qualifications: Strong compliance background in Financial Planning; Level 4 Diploma is a plus.
- Other info: You will report directly to the Managing Director and have significant autonomy.
The predicted salary is between 43200 - 72000 £ per year.
The Role:
As the Head of Compliance, you will play a crucial role in ensuring the firm operates in line with regulatory standards while fostering a strong compliance culture. Reporting directly to the Managing Director, you will lead the compliance function, including oversight of a small team, which includes two experienced file checkers.
This role is ideal for a compliance professional looking for flexibility, as you can structure your 3 days a week to suit your requirements.
Key Responsibilities:
- Oversee the compliance framework, ensuring all processes and policies meet FCA requirements.
- Provide leadership and support to the compliance team, including mentoring two file checkers.
- Take on SMF16 and SMF17 responsibilities, either immediately or in the future.
- Conduct regular audits and reviews to ensure the suitability of advice and adherence to best practices.
- Collaborate with the MD to promote a culture of compliance and continuous improvement.
- Stay up-to-date with regulatory changes and implement necessary updates to policies and procedures.
What We’re Looking For:
- Experience: Strong background in compliance within the Financial Planning / IFA sector.
- Qualifications: Level 4 Diploma in Financial Planning (or equivalent) is desirable.
- Leadership Skills: Proven ability to lead and develop a team.
- Regulatory Knowledge: In-depth understanding of FCA regulations and their practical application within financial planning.
- Flexibility: A professional who values autonomy and can manage their time effectively in a part-time role.
#J-18808-Ljbffr
Head of Compliance employer: IDEX Consulting
Contact Detail:
IDEX Consulting Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance
✨Tip Number 1
Make sure to highlight your leadership experience in compliance roles. Since this position involves overseeing a team, showcasing your ability to mentor and develop others will set you apart.
✨Tip Number 2
Stay updated on the latest FCA regulations and demonstrate your knowledge during discussions. This shows that you are proactive and committed to maintaining compliance standards.
✨Tip Number 3
Emphasize your experience with audits and reviews. Providing examples of how you've ensured adherence to best practices will illustrate your capability to maintain a strong compliance culture.
✨Tip Number 4
Since flexibility is key for this role, be prepared to discuss how you manage your time effectively. Share strategies that have worked for you in previous positions to demonstrate your ability to thrive in a part-time environment.
We think you need these skills to ace Head of Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance, particularly within the Financial Planning or IFA sector. Emphasize any leadership roles and your understanding of FCA regulations.
Craft a Strong Cover Letter: In your cover letter, express your passion for compliance and your ability to foster a strong compliance culture. Mention specific examples of how you've led teams and implemented regulatory changes in previous roles.
Highlight Relevant Qualifications: If you have a Level 4 Diploma in Financial Planning or equivalent, be sure to mention it prominently. This qualification is desirable for the role and can set you apart from other candidates.
Showcase Flexibility and Autonomy: Since the role offers flexibility, discuss your ability to manage your time effectively in a part-time position. Provide examples of how you've successfully balanced multiple responsibilities in the past.
How to prepare for a job interview at IDEX Consulting
✨Showcase Your Regulatory Knowledge
Be prepared to discuss your understanding of FCA regulations and how they apply to the financial planning sector. Highlight specific examples from your past experience where you ensured compliance with these regulations.
✨Demonstrate Leadership Skills
Since this role involves leading a small team, share instances where you've successfully mentored or developed team members. Discuss your leadership style and how you foster a positive compliance culture.
✨Emphasize Flexibility and Autonomy
Talk about your ability to manage your time effectively, especially in a part-time role. Provide examples of how you've structured your work to meet both personal and organizational needs.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in compliance scenarios. Prepare to discuss how you would handle specific compliance challenges or regulatory changes, demonstrating your proactive approach.
