At a Glance
- Tasks: Lead compliance strategy and develop frameworks in a dynamic Wealth Management firm.
- Company: Market-leading Wealth Management firm with a supportive, collaborative culture.
- Benefits: Competitive salary, hybrid working, and excellent career prospects.
- Other info: Opportunity for growth in a thriving business with a focus on adviser support.
- Why this job: Step into a senior leadership role and make a real impact on compliance.
- Qualifications: Experience in compliance within Wealth Management and strong FCA regulation knowledge.
The predicted salary is between 65000 - 80000 £ per year.
- Head of Compliance Wealth Management Financial Services Hybrid
- Hybrid Working
- Competitive Salary + Benefits
- A well-established, market-leading Wealth Management firm is looking for an experienced
- Compliance professional to step into the role of
Head of Compliance and lead its compliance function.
- This is an outstanding opportunity for an experienced
- Compliance Manager ,
- Senior Compliance Manager or
- Deputy Head of Compliance looking to progress into a
Head of Compliance position within a growing, adviser-focused business.
The Role
Head of Compliance , you will play a pivotal role in shaping the firm's compliance strategy while working closely with senior leadership to support the continued growth of the business.
Key responsibilities include
- Leading and developing the firm's compliance framework.
- Providing regulatory advice and guidance across the business.
- Overseeing Consumer Duty, SMCR, Training & Competence (T&C) and FCA regulatory requirements.
- Sitting on the Investment Committee, providing regulatory guidance and challenge.
- Delivering compliance and regulatory training to Financial Advisers and Paraplanners.
- Leading compliance monitoring, regulatory reporting and policy development.
- Building strong relationships with senior leadership, advisers and the FCA.
- Supporting the business with pragmatic, commercial compliance solutions.
About You
You’ll ideally have
- Previous experience in a senior compliance role within Wealth Management, Financial Planning or Financial Services.
- Strong knowledge of FCA regulation, Consumer Duty, SMCR and Training & Competence.
- Experience working with senior stakeholders and influencing business decisions.
- Level 4 Diploma qualified (or equivalent).
- The ambition and capability to step into a
Head of Compliance role.
- What’s on Offer
- Opportunity to progress into a
Head of Compliance position.
- Senior leadership role with genuine influence.
- Hybrid working.
- Supportive, collaborative culture.
- Excellent long-term career prospects with a growing Wealth Management business.
- Apply
- If you’re an experienced Compliance professional looking to take the next step into a
Head of Compliance role, we’d love to hear from you.
Apply today with your CV or contact us for a confidential discussion.
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Head Of Compliance in Birmingham employer: WEALTHLINK RECRUITMENT LTD
Join an award-winning Chartered Financial Planning firm near Wetherby, where you will be part of a collaborative and supportive work culture that values your contributions. With a focus on professional development, this role offers unique opportunities to engage directly with clients and Financial Advisers, ensuring your skills are honed in a dynamic environment. Enjoy competitive remuneration and the chance to grow within a respected team dedicated to delivering exceptional financial planning services.
Contact Details:
WEALTHLINK RECRUITMENT LTD Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Head Of Compliance in Birmingham
✨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 WEALTHLINK RECRUITMENT LTD looking for candidates who are engaged and informed.
We think you need these skills to ace Head Of Compliance in Birmingham
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 WEALTHLINK RECRUITMENT LTD. 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 WEALTHLINK RECRUITMENT LTD
✨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 WEALTHLINK RECRUITMENT LTD’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
