At a Glance
- Tasks: Lead compliance and risk for a tech-driven financial planning business, using AI to innovate processes.
- Company: Fast-growing, innovative financial planning firm based in London.
- Benefits: Attractive six-figure salary, equity participation, and hybrid working options.
- Other info: Join a dynamic team focused on strategic growth and regulatory excellence.
- Why this job: Shape the future of compliance in a forward-thinking environment and challenge traditional norms.
- Qualifications: Strong compliance background with FCA knowledge; creativity and tech-savvy mindset are essential.
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 don't want someone to simply manage a rulebook. 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 report directly to a senior member of the leadership team, with a clear plan to take on SMF16 and SMF17 responsibilities in time. 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.
What they are looking for:
- 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.
Ideal scenario - finding somebody that combines both of these profiles! In any case, the non-negotiables are: 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.
Key responsibilities:
- 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.
What is on offer:
- £six figure basic salary.
- 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 & Risk 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 competitive six-figure salary, equity participation through our LTIP/share scheme, and a hybrid working model that promotes work-life balance. With a strong focus on employee growth and the opportunity to lead a dynamic compliance team, this role is perfect for those looking to make a meaningful impact in a forward-thinking environment.
Contact Details:
Nigel James Associates Ltd Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance & Risk
✨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 interviews by researching the company and its culture. We want to see you shine, so think about how your skills in compliance and risk management can align with their tech-driven approach. Show them you’re not just another candidate!
✨Tip Number 3
Practice your pitch! You need to be able to articulate your experience and how it fits into their vision of pushing compliance boundaries. We suggest rehearsing with a friend or in front of a mirror until you feel confident.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive and engaged with our platform.
We think you need these skills to ace Head of Compliance & Risk
Some tips for your application 🫡
Show Your Passion for Innovation:When writing your application, make sure to highlight your genuine interest in using technology and creative thinking to transform compliance processes. We want to see how you can push the boundaries and bring fresh ideas to the table!
Tailor Your Experience:Don’t just list your past roles; connect your experience to the specific requirements of this position. Whether you're a technical compliance pro or have a broader business background, we want to know how your skills align with our vision for compliance and risk management.
Be Authentic:Let your personality shine through in your application! We’re looking for someone who is not only qualified but also genuinely excited about the role. Share your thoughts on calculated risks and how you’ve approached challenges in the past.
Apply Through Our Website:We encourage you to submit your application through our website. It’s the best way for us to receive your details and ensures you don’t miss out on any important updates during the process. We can’t wait to hear from you!
How to prepare for a job interview at Nigel James Associates Ltd
✨Know Your Stuff
Make sure you brush up on FCA regulations and compliance frameworks. Understand how technology can enhance these processes, as the company is looking for someone who can push boundaries. Be ready to discuss specific examples of how you've used tech in compliance.
✨Show Your Creative Side
Prepare to showcase your creativity and entrepreneurial mindset. Think of innovative solutions you've implemented in past roles that improved compliance or risk management. This role is all about challenging the norm, so don’t hold back!
✨Understand the Business Model
Familiarise yourself with the company's unique approach to financial planning. They want someone who understands their tech-driven model and can align compliance strategies with business goals. Research their services and think about how compliance can support their growth.
✨Engage with the Leadership Team
Since you'll be reporting directly to senior leadership, prepare thoughtful questions that demonstrate your strategic thinking. Show them you're not just a rule follower but a partner in driving the business forward while maintaining compliance standards.
