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, 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 - 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.
Senior Manager, Risk, Compliance and Policy 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. As a Senior Manager, you will not only lead a dedicated team but also have the opportunity to shape the future of compliance in a fast-growing environment, all while enjoying a competitive salary, equity participation, and a hybrid working model. This is an exceptional opportunity for those looking to make a meaningful impact in a forward-thinking organisation that values creativity and strategic thinking.
Contact Details:
Nigel James Associates Ltd Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Senior Manager, Risk, Compliance and Policy
✨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 this role, they’re looking for someone who can leverage technology to transform compliance processes. Be ready to discuss how you’ve used tech in past roles or how you plan to innovate in this area during interviews.
✨Tip Number 3
Prepare for those tricky questions! Think about how you can demonstrate your deep FCA regulatory knowledge and your creative approach to compliance. Practice articulating your thoughts on risk management and compliance strategies that push boundaries.
✨Tip Number 4
Don’t forget to apply through our website! We want to see your application and help you land that exciting role. Plus, it shows you’re serious about joining a forward-thinking team that’s all about challenging the status quo.
We think you need these skills to ace Senior Manager, Risk, Compliance and Policy
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 compliance 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 like a commercial leader, so share examples of how you've driven success in past roles.
Be Creative and Bold:This role is all about pushing boundaries, so don’t be afraid to showcase your creative thinking. Tell us about times when you took calculated risks or implemented innovative solutions in compliance or 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’re considered for this exciting opportunity in our tech-driven financial planning business.
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
This role is all about using technology to transform compliance processes. Prepare to talk about specific tools or AI solutions you've implemented in previous positions. Highlight any creative approaches you've taken to improve efficiency while maintaining regulatory standards.
✨Demonstrate Your Leadership Skills
As you'll be leading a small compliance team, it's crucial to showcase your leadership experience. Think of examples where you've developed a team or managed projects successfully. Be ready to discuss your strategic vision for the compliance function and how you plan to inspire your team.
✨Be Ready for Creative Problem Solving
They’re looking for someone with a creative and entrepreneurial mindset. Prepare to share instances where you've taken calculated risks or approached problems from a unique angle. This could be a great opportunity to demonstrate your ability to think outside the box in a compliance context.
