At a Glance
- Tasks: Lead compliance and risk for a tech-driven financial planning business, using AI to enhance processes.
- Company: Fast-growing, innovative financial planning firm based in London.
- Benefits: Attractive six-figure salary, equity participation, hybrid working, and career development opportunities.
- Other info: Join a dynamic team and make a real impact in the financial services sector.
- Why this job: Shape the future of compliance in a forward-thinking environment and challenge traditional norms.
- Qualifications: Strong compliance background, FCA knowledge, and a passion for technology in finance.
The predicted salary is between 100000 - 120000 £ per year.
This is one of the most genuinely exciting compliance roles in the UK financial planning market right now - and it is not for everyone. Our client is a fast-growing, technology-driven financial planning business based in London. They have built their business by challenging the traditional financial planning model - leveraging technology to deliver efficient, high-quality advice at scale - and their approach to compliance is no different. They want someone who will actively push the boundaries of what compliance and risk management can look like, using technology and creative thinking to make processes faster, smarter, and more effective without ever compromising on regulatory standards.
This role is to lead and develop the compliance and risk function as the business continues to scale. You will have a team supporting you who would be focused on day-to-day processes, so you can concentrate on the strategic and risk agenda.
- A highly technical compliance professional with a strong advice background, deep FCA regulatory knowledge, and a genuine passion for using technology to transform compliance processes.
- A commercially minded individual who has operated in a broader business role - such as sales management or a chief commercial function and transitioned into compliance; bringing a creative and entrepreneurial mindset.
- Genuine creativity, a willingness to take calculated risks, comfort operating as a Chief Risk Officer as well as a Head of Compliance, and a demonstrable interest in using AI and technology to drive compliance efficiency.
- Experience in a fintech or technology-forward financial services environment would be a significant advantage.
Lead and develop the compliance and risk function for a growing, technology-driven financial planning business. Act as Chief Risk Officer as well as Head of Compliance - owning the risk framework and appetite across the business. Use technology and AI creatively to improve compliance processes and drive efficiency across the function. Manage and develop a small compliance team, with a new Compliance Manager joining alongside this hire. Work closely with senior leadership on strategic regulatory matters and take on SMF16 and SMF17 responsibilities in time. Ensure the business remains fully compliant with FCA rules and guidance including Consumer Duty and MiFID II.
LTIP/share scheme - meaningful equity participation in a scaling business ~ Hybrid working ~ The opportunity to shape the compliance and risk function of one of the most forward-thinking financial planning businesses in the UK. If you are a compliance professional who is frustrated by the traditional approach and wants to do things differently - this is the role for you.
Head of Compliance and Risk Full Time Permanent employer: Nigel James Associates Ltd
Join a pioneering financial planning business in London that is redefining compliance and risk management through innovative technology and creative thinking. As an employer, we offer a dynamic work culture that encourages entrepreneurial spirit, alongside competitive benefits including a six-figure salary, LTIP/share scheme, and hybrid working arrangements. With a strong focus on employee growth and the opportunity to lead a forward-thinking compliance function, this role is perfect for those looking to make a meaningful impact in a rapidly evolving industry.
Contact Details:
Nigel James Associates Ltd Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance and Risk Full Time Permanent
✨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 those interviews by researching the company inside out. Understand their tech-driven approach to compliance and think about how your skills can push those boundaries. We want you to shine when you talk about your vision!
✨Tip Number 3
Showcase your creativity! When discussing your experience, highlight instances where you’ve used technology to improve processes. We love seeing candidates who think outside the box and are ready to transform compliance.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets the attention it deserves. Plus, we’re always looking for innovative minds to join our team in shaping the future of compliance.
We think you need these skills to ace Head of Compliance and Risk Full Time Permanent
Some tips for your application 🫡
Show Your Passion for Technology:Make sure to highlight your genuine interest in using technology to transform compliance processes. We want to see how you can creatively leverage tech to make compliance smarter and more efficient.
Demonstrate Your Commercial Mindset:Don’t just focus on compliance; show us how your broader business experience can add value. We’re looking for someone who thinks like a Chief Risk Officer and can bring a creative, entrepreneurial approach to the role.
Tailor Your Application:Take the time to customise your application to reflect the specific requirements of this role. We appreciate when candidates connect their skills and experiences directly to what we’re looking for in a Head of Compliance and Risk.
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates from our team.
How to prepare for a job interview at Nigel James Associates Ltd
✨Know Your Compliance Stuff
Make sure you brush up on your FCA regulatory knowledge before the interview. They’re looking for someone who can demonstrate a deep understanding of compliance and risk management, so be ready to discuss specific regulations and how they apply to the role.
✨Show Off Your Tech Savvy
Since this role is all about leveraging technology to transform compliance processes, come prepared with examples of how you've used tech or AI in previous roles. Think about creative solutions you've implemented that improved efficiency without compromising standards.
✨Think Strategically
This position involves leading a team and working closely with senior leadership, so be ready to talk about your strategic vision for compliance and risk. Prepare to discuss how you would shape the function as the business scales and what innovative ideas you have in mind.
✨Be Ready to Discuss Risk Management
As you'll be acting as Chief Risk Officer, it’s crucial to articulate your approach to risk management. Prepare to share your thoughts on risk appetite and how you would balance compliance with the need for innovation in a fast-growing fintech environment.
