At a Glance
- Tasks: Lead compliance and risk functions, using tech to innovate processes.
- Company: Fast-growing, tech-driven financial planning business in London.
- Benefits: Attractive salary, equity participation, hybrid working, and career shaping opportunities.
- Other info: Join a dynamic team and make a real impact in the financial sector.
- Why this job: Transform compliance with creativity and technology in a forward-thinking environment.
- Qualifications: Strong compliance background, FCA knowledge, and a passion for tech innovation.
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.
Risk Manager (Contract, Temporary) employer: Nigel James Associates Ltd
Join a dynamic and innovative financial planning business in London that is redefining compliance and risk management through technology and creativity. With a strong focus on employee growth, you will have the opportunity to lead a dedicated team while shaping the future of compliance in a supportive hybrid work environment. Enjoy competitive compensation, including a six-figure salary and equity participation, as you contribute to a forward-thinking organisation that values fresh ideas and challenges the status quo.
Contact Details:
Nigel James Associates Ltd Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Risk Manager (Contract, Temporary)
✨Tip Number 1
Network like a pro! Get out there and connect with people in the industry. Attend events, join online forums, and don’t be shy about reaching out on LinkedIn. We all know that sometimes it’s not just what you know, but who you know!
✨Tip Number 2
Prepare for those interviews by researching the company inside out. Understand their tech-driven approach to compliance and risk management. We want you to show them you’re not just another candidate; you’re the one who gets their vision and can help push boundaries.
✨Tip Number 3
Practice your pitch! You need to convey your passion for using technology in compliance clearly and confidently. We suggest rehearsing with friends or in front of a mirror until you can deliver it smoothly. Remember, enthusiasm is contagious!
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen. Plus, we love seeing candidates who take the initiative to engage directly with us. Let’s make this happen together!
We think you need these skills to ace Risk Manager (Contract, Temporary)
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 things smarter and more efficient!
Demonstrate Your Compliance Knowledge:Don’t hold back on showcasing your deep FCA regulatory knowledge. We’re looking for someone who knows the ins and outs of compliance, so be specific about your experience and how it relates to the role.
Be Creative and Bold:This role is all about pushing boundaries, so don’t shy away from sharing your innovative ideas. We love candidates who think outside the box and are willing to take calculated risks in their approach to compliance.
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to get your application and ensures you’re considered for this exciting opportunity in a fast-growing business!
How to prepare for a job interview at Nigel James Associates Ltd
✨Know Your Stuff
Make sure you brush up on your FCA regulatory knowledge and compliance frameworks. Understand the latest trends in technology and how they can transform compliance processes. This will show that you're not just technically sound but also forward-thinking.
✨Show Your Creative Side
Prepare examples of how you've used technology or creative thinking to solve compliance challenges in the past. This role is all about pushing boundaries, so be ready to discuss innovative ideas that could enhance compliance efficiency.
✨Understand the Business Landscape
Familiarise yourself with the company's approach to financial planning and their unique business model. Knowing how they leverage technology will help you align your answers with their vision and demonstrate your commercial mindset.
✨Engage with the Team Dynamic
Since you'll be leading a small compliance team, think about how you can foster collaboration and development within the group. Be prepared to discuss your leadership style and how you plan to support your team while focusing on strategic risk management.
