MERJE is currently working exclusively with a well known financial planning and wealth management business in their search for a Interim Head of Compliance & Risk. The role holder will hold the SMF16 & 17 for the business. Manage the Compliance team and co-ordinate regular management information Ensure full compliance with the FCA’s Consumer Duty by embedding consumer-focused governance across all levels Keep up to date with developments that may affect the compliance and risk of the group Advise senior management in a timely manner of FCA related and other regulatory issues and any changes to the FCA rules. Produce an annual compliance report for senior management. Ensure the business has adopted a risk-based approach to compliance monitoring. Review the activities of the firm on an on-going basis to ensure they are undertaken adequately and meet all relevant requirements. Ensure that any financial promotions are approved in accordance with FCA rules. Key Requirements: Operated as an SM16 within a wealth or financial planning environment Strong team leadership skills Excellent understanding of regulatory requirements, industry best practices and emerging risks – relevant to the wealth management sector Good knowledge of policies, controls and monitoring required to enable positive consumer outcomes Effective communication skills to advise stakeholders across all levels Proactive, self-supportive, and motivated in fostering a positive compliance culture