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 - 125000 £ 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 (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 enjoying hybrid working arrangements and meaningful equity participation in a rapidly scaling company. This is an exciting chance to make a real impact in a forward-thinking environment 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 (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. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by researching the company and its culture. Understand their approach to compliance and risk management, especially how they leverage technology. This will help you tailor your answers and show that you’re genuinely interested in what they do.
✨Tip Number 3
Practice your pitch! Be ready to explain how your background in compliance and risk aligns with their innovative approach. Highlight your experience with technology and creative problem-solving to stand out from the crowd.
✨Tip Number 4
Don’t forget to apply through our website! We’ve got loads of exciting opportunities, and applying directly can sometimes give you an edge. Plus, it’s super easy to keep track of your applications that way!
We think you need these skills to ace Risk Manager (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 share specific examples of your experience in this area.
Be Creative and Entrepreneurial:We love a candidate who thinks outside the box! Share instances where you've taken calculated risks or brought innovative ideas to the table in your previous roles. Show us your entrepreneurial mindset!
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 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 push the boundaries of compliance, so be ready to discuss how you’ve used your technical expertise in past roles.
✨Show Off Your Tech Savvy
Since this role is all about leveraging technology, come prepared with examples of how you've used tech or AI to improve compliance processes. Think creatively and be ready to share innovative ideas that could transform their approach.
✨Demonstrate Your Commercial Mindset
This isn’t just about compliance; they want someone who understands the broader business landscape. Be ready to talk about your experience in sales management or any commercial roles, and how that perspective can enhance the compliance function.
✨Be Ready to Lead
As a potential leader of the compliance and risk function, show them you can manage a team effectively. Prepare to discuss your leadership style and how you would develop your team while focusing on strategic risk management.
