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- Tasks: Lead compliance and risk management for a top investment firm, ensuring quality advice and client outcomes.
- Company: FTSE 250 Investment Management firm with a strong reputation.
- Benefits: Flexible location, competitive salary, and opportunities for professional growth.
- Why this job: Make a real impact in a senior role while shaping the future of wealth management.
- Qualifications: CISI Level 4 or equivalent, extensive wealth management experience, and strong leadership skills.
- Other info: Join a dynamic team focused on compliance excellence and client success.
The predicted salary is between 43200 - 72000 £ per year.
My client is a FTSE 250 Investment Management firm. They are looking for a senior risk and compliance professional to support the CEO ensure that the business risk agenda is effectively monitored and managed, and the Consumer Duty Framework is embedded.
This is a FLOD senior leadership role responsible for overseeing the quality, compliance, and effectiveness of investment advice and financial planning advice services delivered to clients, together with oversight on the business risk and controls in the Wealth Business. This role ensures that all advice processes meet regulatory requirements, adhere to best practice standards, and deliver optimal client outcomes whilst managing risk and supporting business growth.
Responsibilities
- Advice Quality and Supervision
- Regulatory Oversight and Compliance, Business risk and controls
- Team Leadership and Development
- Business Strategy and Development
- Risk Management and MI
Minimum Requirements
- CISI Level 4 in Financial Planning - or equivalent
- Extensive experience in wealth management, with expertise in investment advice and financial planning
- Deep knowledge of FCA regulations
- Strong understanding of technical advice areas including pensions, investments, tax planning, and estate planning
- Experience in managing teams and developing technical capability
- Excellent analytical skills with ability to interpret complex advice scenarios
- Chartered Financial Planner or Chartered Wealth Manager status
- Experience working with the FCA through regulatory visits or skilled person reviews
- Knowledge of wealth management operating models and technology platforms
- Experience implementing advice frameworks or supervision methodologies
- Understanding of industry best practice through professional bodies such as the PFS or CII
- Wider understanding of the Wealth Planning landscape, including Trusts.
Personal Attributes
- Strong leadership presence with ability to command respect across the business.
- High integrity with commitment to delivering positive client outcomes.
- Strategic thinker with ability to balance commercial and risk considerations.
- Resilient and capable of managing multiple priorities in a demanding environment.
- Collaborative approach with ability to build effective relationships.
- Detail-oriented with commitment to technical excellence.
Head of Compliance and Business Risk employer: Stephenson Executive Search
Contact Detail:
Stephenson Executive Search Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance and Business Risk
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment 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 those interviews by brushing up on your knowledge of FCA regulations and compliance frameworks. We want you to be able to showcase your expertise and how it aligns with the company's goals during the chat.
✨Tip Number 3
Don’t just wait for job postings; proactively reach out to companies you admire. A well-crafted email expressing your interest can sometimes lead to unadvertised roles, especially in senior positions like Head of Compliance.
✨Tip Number 4
Finally, apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are keen to join us directly.
We think you need these skills to ace Head of Compliance and Business Risk
Some tips for your application 🫡
Tailor Your CV: Make sure your CV speaks directly to the job description. Highlight your experience in compliance and risk management, especially in wealth management. We want to see how your skills align with the responsibilities outlined for the Head of Compliance and Business Risk role.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this senior leadership role. Share specific examples of how you've successfully managed compliance and risk in the past, and don’t forget to mention your understanding of FCA regulations.
Showcase Your Leadership Skills: Since this role involves team leadership and development, make sure to highlight your experience in managing teams. We want to know how you've built effective relationships and developed technical capabilities within your teams in previous roles.
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It’s the best way for us to receive your application and ensure it gets the attention it deserves. Plus, it shows you’re keen on joining 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 the wealth management sector. 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 your role.
✨Demonstrate Leadership Skills
Prepare examples of how you've successfully led teams and developed their capabilities. Highlighting your leadership presence and ability to command respect will resonate well, especially since this is a senior role.
✨Showcase Analytical Prowess
Be ready to discuss complex advice scenarios you've navigated in the past. Your analytical skills are crucial for interpreting risks and ensuring compliance, so share specific instances where your insights led to positive outcomes.
✨Emphasise Client Outcomes
Talk about your commitment to delivering optimal client outcomes. Share stories that illustrate how you’ve balanced risk management with business growth while ensuring clients receive top-notch advice.
