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 six-figure salary, equity participation, and hybrid working.
- Other info: Join a dynamic team and drive meaningful change in the industry.
- Why this job: Shape the future of compliance in a forward-thinking environment.
- Qualifications: Strong compliance background, FCA knowledge, and tech-savvy mindset.
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.
Senior Legal & Risk Manager 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 a Senior Legal & Risk Manager, you will thrive in a dynamic work culture that values entrepreneurial spirit and offers significant growth opportunities, including meaningful equity participation and hybrid working arrangements. This is your chance to lead a forward-thinking compliance function and make a real impact in a fast-growing environment.
Contact Details:
Nigel James Associates Ltd Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Senior Legal & Risk Manager
✨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 think of ways you can contribute creatively. We want you to show them how you can push boundaries and bring fresh ideas to the table!
✨Tip Number 3
Practice your pitch! You need to convey your passion for compliance and technology clearly. We suggest rehearsing with a friend or in front of a mirror until you feel confident. 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 noticed. Plus, we love seeing candidates who are proactive and engaged. Let’s get you that dream job together!
We think you need these skills to ace Senior Legal & Risk Manager
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 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 outside the box 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 the role. We love seeing candidates who understand our unique approach to compliance and risk management.
Apply Through Our Website:We encourage you to apply directly through our website. 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. Be ready to discuss how you've used this knowledge in past roles, especially in a tech-driven environment. They want someone who can push boundaries, so think about examples where you've done just that!
✨Show Off Your Tech Savvy
Since this role is all about leveraging technology for compliance, come prepared with specific examples of how you've used tech or AI to improve processes. Whether it's a software you implemented or a creative solution you devised, make it clear how you can bring that innovative mindset to their team.
✨Demonstrate Your Leadership Skills
As you'll be leading a small compliance team, highlight your experience in managing and developing teams. Share stories that showcase your leadership style and how you've successfully guided teams through challenges, especially in fast-paced environments.
✨Be Ready for Strategic Discussions
This role involves working closely with senior leadership on strategic regulatory matters. Prepare to discuss your experience in broader business roles and how that perspective can inform compliance strategies. Show them you're not just a compliance expert, but also a commercially minded individual who understands the bigger picture.
