HEAD OF COMPLIANCE AND RISK
ATTRACTIVE £SIX FIGURE BASIC | LTIP/SHARE SCHEME | LONDON | HYBRID
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 don’t want someone to simply manage a rulebook. 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 report directly to a senior member of the leadership team, with a clear plan to take on SMF16 and SMF17 responsibilities in time. 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.
What they are looking for:
Our client is open to two distinct profiles for this role:
1) 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
2) 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
Ideal scenario – finding somebody that combines both of these profiles!
In any case, the non-negotiables are:
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.
Key responsibilities:
- 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
What is on offer:
- £six figure basic salary
- 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.
Nigel James Associates
Connecting talent. Building success.
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