At a Glance
- Tasks: Lead compliance, risk, and financial crime functions while shaping business strategy.
- Company: Growing financial planning firm with ambitious plans and a collaborative culture.
- Benefits: Competitive salary, bonus, pension contribution, remote work, and health insurance.
- Other info: Hands-on leadership role with genuine influence and career growth opportunities.
- Why this job: Join the senior management team and make a real impact in a dynamic environment.
- Qualifications: Experience in IFA or wealth management, holding SMF16 and SMF17 responsibilities.
The predicted salary is between 80000 - 100000 £ per year.
Recruit UK is working with a growing financial planning firm seeking an experienced Head of Compliance to join their senior leadership team. This is a unique opportunity for an experienced compliance professional to take ownership of the firm's compliance, risk and financial crime functions while playing a key role in shaping the future direction of the business. The role offers a blend of strategic leadership and hands-on involvement, making it ideal for someone who enjoys working closely with advisers, senior management and the Board while remaining connected to the day-to-day operation of the compliance function.
What's on offer:
- Salary of £80,000 - £100,000 + (negotiable depending on experience)
- Bonus
- 5% employer pension contribution
- Death in Service cover
- Permanent Health Insurance
- Remote working (min once a month in the office, or if preferred regular access to Taunton or Leeds office)
- Opportunity to join the senior management team and influence business strategy
- Growing business with ambitious plans and genuine scope to make an impact
What you'll be doing:
- Acting as SMF16 (Compliance Oversight) and SMF17 (MLRO)
- Leading the firm's compliance, risk and financial crime functions
- Maintaining and enhancing the risk and compliance framework
- Overseeing compliance monitoring, file reviews and quality assurance activity
- Managing FCA reporting, regulatory engagement and regulatory change
- Providing guidance and support to advisers, management and the Board
- Delivering compliance and financial crime training across the business
- Producing Board and committee reporting on compliance, risk and Consumer Duty
- Supporting governance, SMCR and wider business initiatives
- Helping to shape a positive compliance culture across the firm
This is a hands-on leadership role. Whilst you'll sit on the senior management team and lead the compliance agenda, you'll also remain actively involved in monitoring, file reviews, adviser support, training and regulatory reporting.
What they're looking for:
- Previous experience within an IFA or wealth management firm
- Experience holding SMF16 and SMF17 responsibilities
- Strong understanding of FCA regulation
- Experience engaging with senior stakeholders and Boards
- A pragmatic, commercial approach to compliance
- Someone who is happy to combine strategic oversight with hands-on delivery
This is an excellent opportunity for an experienced compliance leader looking to join a growing business where they can have genuine influence, visibility and ownership.
Head of Compliance in Guiseley employer: Recruit UK
Join a dynamic financial planning firm that values compliance and risk management as integral to its growth strategy. With a competitive salary, generous benefits including a 5% employer pension contribution and remote working options, this role offers a unique blend of strategic leadership and hands-on involvement, allowing you to make a significant impact on the firm's future. The supportive work culture fosters collaboration with senior management and advisers, providing ample opportunities for professional development and influence within the organisation.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance in Guiseley
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Recruit UK looking for candidates who are engaged and informed.
We think you need these skills to ace Head of Compliance in Guiseley
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Recruit UK. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Recruit UK
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Recruit UK’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
