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- Tasks: Lead compliance and risk management for investment advice services.
- Company: Top investment management firm with a focus on quality and compliance.
- Benefits: Competitive salary, leadership opportunities, and a chance to shape best practices.
- Why this job: Make a real impact in wealth management while ensuring client success.
- Qualifications: Extensive experience in wealth management and FCA regulations required.
- Other info: Join a dynamic team dedicated to business growth and optimal client outcomes.
The predicted salary is between 48000 - 72000 £ per year.
A leading investment management firm is seeking a Head of Compliance and Business Risk to oversee the quality and compliance of investment advice services. The successful candidate will have extensive experience in wealth management and FCA regulations, along with strong leadership skills.
Responsibilities include:
- Ensuring regulatory compliance
- Team leadership
- Managing the business risk agenda
This role is essential for embedding best practices and ensuring optimal client outcomes while managing risk and supporting business growth.
Chief Compliance & Risk Lead – Wealth & Advice employer: Stephenson Executive Search
Contact Detail:
Stephenson Executive Search Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Chief Compliance & Risk Lead – Wealth & Advice
✨Tip Number 1
Network like a pro! Reach out to your connections in the wealth management sector and let them know you're on the lookout for opportunities. You never know who might have the inside scoop on a role that’s perfect for you.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and compliance best practices. We recommend creating a cheat sheet of key points to discuss, so you can showcase your expertise and leadership skills when it counts.
✨Tip Number 3
Don’t just apply anywhere; focus on firms that align with your values and career goals. Use our website to find roles that excite you and match your experience in investment advice services.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in showing your enthusiasm for the role. Plus, it keeps you fresh in their minds as they make their decision.
We think you need these skills to ace Chief Compliance & Risk Lead – Wealth & Advice
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your extensive experience in wealth management and FCA regulations. We want to see how your background aligns with the role of Chief Compliance & Risk Lead, so don’t hold back on showcasing relevant achievements!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for overseeing compliance and business risk. Share your leadership style and how you’ve successfully managed teams in the past – we love a good story!
Showcase Your Leadership Skills: In your application, highlight specific examples of how you’ve led teams and driven compliance initiatives. We’re looking for someone who can embed best practices and ensure optimal client outcomes, so make sure to illustrate your impact!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the easiest way for us to receive your application and ensures you’re considered for this exciting opportunity. Plus, it shows you’re keen to join our team!
How to prepare for a job interview at Stephenson Executive Search
✨Know Your Regulations
Make sure you brush up on FCA regulations and compliance standards relevant to wealth management. Being able to discuss these confidently will show that you’re not just familiar with the rules, but that you can apply them effectively in real-world scenarios.
✨Showcase Leadership Experience
Prepare examples of your leadership skills, especially in managing teams and driving compliance initiatives. Think about specific challenges you've faced and how you led your team through them—this will demonstrate your capability to lead in this role.
✨Understand the Business Risk Agenda
Familiarise yourself with common business risks in investment management. Be ready to discuss how you would approach risk management and what best practices you would implement to ensure optimal client outcomes while supporting business growth.
✨Ask Insightful Questions
Prepare thoughtful questions about the firm’s current compliance challenges and their approach to risk management. This shows your genuine interest in the role and helps you gauge if the company aligns with your values and expertise.
