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 and drive meaningful change 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 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 in London 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. With a competitive six-figure salary, equity participation, and a hybrid working model, this role offers not just a job but a chance to lead a transformative compliance function in a dynamic environment. The company fosters a culture of growth and collaboration, providing ample opportunities for professional development while encouraging employees to push the boundaries of traditional practices.
Contact Details:
Nigel James Associates Ltd Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance & Risk in London
✨Tip Number 1
Network like a pro! Get out there and connect with people in the compliance and risk space. Attend industry events, join relevant online forums, and don’t be shy about reaching out on LinkedIn. You never know who might have the inside scoop on your dream job!
✨Tip Number 2
Show off your tech-savvy side! In interviews, highlight how you've used technology to improve compliance processes in the past. Share specific examples of how you’ve leveraged AI or other tools to drive efficiency. This will set you apart from the crowd!
✨Tip Number 3
Prepare for those tricky questions! Think about how you can creatively approach compliance challenges and be ready to discuss your thought process. Employers want to see your problem-solving skills in action, so come armed with ideas that push the boundaries.
✨Tip Number 4
Don’t forget to apply through our website! We’re all about connecting talent with opportunities, and applying directly can give you an edge. Plus, it shows you’re genuinely interested in being part of our innovative team!
We think you need these skills to ace Head of Compliance & Risk in London
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 directly to the job description. 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! We’re looking for someone who is not only qualified but also fits our culture. Share your thoughts on calculated risks and creativity in compliance – we love a good story that showcases your unique approach.
Apply Through Our Website:Make sure to submit your application through our website. It’s the best way for us to keep track of your application and ensures you don’t miss out on any important updates. 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 this role is all about pushing boundaries. Be ready to discuss specific examples of how you've used tech in compliance.
✨Show Your Creative Side
This position requires genuine creativity and a willingness to take calculated risks. Prepare to share innovative ideas you've implemented in past roles or brainstorm new approaches to compliance that could benefit the company.
✨Understand the Business
Get familiar with the company's business model and how they leverage technology in financial planning. This will help you align your answers with their vision and demonstrate that you're not just a compliance expert but also a strategic thinker.
✨Engage with the Team
Since you'll be leading a small compliance team, think about how you can foster collaboration and development within your team. Be prepared to discuss your leadership style and how you plan to support your team while focusing on the strategic agenda.
