Recruitment Partner @ Burton | HR, New Business Development
We are partnered with a leading Financial Planning firm seeking an experienced and strategic Head of Compliance & Risk to lead their compliance function. This is an exceptional opportunity for a seasoned professional to shape compliance strategy, mentor a talented team, and drive regulatory excellence in a dynamic, client-focused environment.
The Opportunity
As the Head of Compliance & Risk, you will take full ownership of the firm’s compliance and risk functions. You’ll be instrumental in ensuring regulatory adherence while fostering a culture of ethical excellence and continuous improvement.
Key Responsibilities
* Leadership & Mentorship: Lead and inspire the compliance team, including mentoring the Compliance Manager and junior staff to enhance their skills and effectiveness.
* Strategic Oversight: Develop and oversee the Compliance Monitoring Programme, ensuring alignment with evolving regulatory requirements and business objectives.
* Risk Management: Lead risk assessments, including AML evaluations and enhanced due diligence for new and existing clients.
* Regulatory Expertise: Ensure compliance with FCA regulations, including TCF, SMCR, and financial crime policies. Provide expert guidance on regulatory developments.
* Complaints Management: Take responsibility for the complaints process, ensuring timely and compliant resolution of issues.
* Training & Development: Create and implement compliance training programs for all staff, fostering a culture of regulatory awareness and excellence.
* Audit & Reporting: Conduct internal audits, produce compliance reports for senior management and regulators, and oversee Management Information (MI) reporting.
* Decision-Making Authority: Handle escalated compliance matters and approve high-risk business cases.
What You’ll Bring
* Leadership Experience: Proven ability to lead and mentor teams in a compliance or risk management setting.
* Regulatory Expertise: Extensive knowledge of FCA regulations, AML requirements, and financial planning products.
* Professional Qualifications: Level 5 or higher qualification (Chartered status preferred).
* Analytical Skills: Strong problem-solving abilities with a track record of effective risk mitigation.
* Communication Excellence: Confident in presenting compliance updates to senior stakeholders and regulators.
* Organisational Strength: Highly detailed and capable of managing multiple priorities effectively.
What’s in It for You?
* Performance-Based Incentives: Rewards and salary increments based on results.
* Work-Life Balance: Hybrid working arrangements and negotiable hours.
* Pension scheme with 5.5% employer contributions.
* Health and life insurance, income protection, and critical illness cover.
* 25 days holiday plus statutory holidays, increasing with service length.
* Free parking and a supportive work environment.
This is a rare opportunity to step into a senior leadership role at a firm committed to excellence and growth. You’ll have the autonomy to shape compliance strategy, mentor a talented team, and contribute to a dynamic, client-focused organization that values professional development and innovation.
Seniority level: Mid-Senior level
Employment type: Full-time
Job function: Accounting/Auditing, Consulting, and Finance
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