Head of Compliance & Risk - Financial Planning
Are you an experienced compliance and risk professional with a strong background in regulatory excellence?
Do you thrive in leadership roles where you can make a significant impact?
If, like us - you value integrity, leadership, and a commitment to excellence then we'd love to hear from you. Where do you fit in?
As a key member of our team, you'll ensure our financial group meets all regulatory standards including risk management, anti-financial crime, and data protection. Working closely with our senior leadership team you'll provide strategic oversight and manage relationships with the FCA and other regulatory bodies. This is a great opportunity to influence the regulatory landscape of a growing financial group. Day to day, you'll be involved with: Compliance & Governance:
Lead the Compliance team, ensuring full regulatory compliance, including FCA Consumer Duty. Provide strong governance and report to the Management and Audit & Risk Committees. Risk Management:
Oversee the Group's risk register, working with risk owners to manage emerging risks and maintain compliance with FCA regulations. Senior Management Functions:
Ensure proper allocation and discharge of Prescribed Responsibilities and Certification Regime duties, conducting annual assessments of Senior Managers and Certified Persons. Monitoring & Reporting:
Implement a risk-based approach to compliance monitoring, review client files, maintain KPIs, and provide timely reporting to senior management. Anti-Money Laundering:
Act as the Money Laundering Reporting Officer (MLRO), produce an annual Money Laundering Report, and ensure staff receive anti-financial crime training. What's in it for You? A competitive salary and benefits, including Private Medical Insurance, birthday leave, and staff discounts. The chance to make a real difference in a growing company with a small enough team to feel your impact. Challenging, meaningful work that lets you showcase your skills and drive innovation. What do you need to succeed? Degree-level education (or equivalent) with current or recent experience in FCA SMF 16 and SMF 17 roles. Proven leadership experience in compliance and risk management in a regulated financial services firm. Strong analytical, communication, and presentation skills, with high integrity in senior leadership roles. Experience in a financial planning firm, including work on ongoing service review issues, is a plus but not essential. This role can be office-based or remote, with travel to other group locations as needed. Who are Argentis? What do we do?
This position is with Argentis Wealth Management - an Independent Financial Advice firm, authorised by the Financial Conduct Authority, owned by Hurst Point Group. We have one mission at our core: giving our clients confidence in their finances. We offer a broad range of wealth management and financial planning services to our clients, ranging from large scale investors and companies to individuals and small businesses. We're looking for talented people to join our teams, to help us achieve our goals and build for the future. We are committed to equality of opportunity for all, we care passionately about our staff and are committed to promoting and protecting the physical and mental health of all our employees. No Agencies Please
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Are you an experienced compliance and risk professional with a strong background in regulatory excellence?
Do you thrive in leadership roles where you can make a significant impact?
If, like us - you value integrity, leadership, and a commitment to excellence then we'd love to hear from you. Where do you fit in?
As a key member of our team, you'll ensure our financial group meets all regulatory standards including risk management, anti-financial crime, and data protection. Working closely with our senior leadership team you'll provide strategic oversight and manage relationships with the FCA and other regulatory bodies. This is a great opportunity to influence the regulatory landscape of a growing financial group. Day to day, you'll be involved with: Compliance & Governance:
Lead the Compliance team, ensuring full regulatory compliance, including FCA Consumer Duty. Provide strong governance and report to the Management and Audit & Risk Committees. Risk Management:
Oversee the Group's risk register, working with risk owners to manage emerging risks and maintain compliance with FCA regulations. Senior Management Functions:
Ensure proper allocation and discharge of Prescribed Responsibilities and Certification Regime duties, conducting annual assessments of Senior Managers and Certified Persons. Monitoring & Reporting:
Implement a risk-based approach to compliance monitoring, review client files, maintain KPIs, and provide timely reporting to senior management. Anti-Money Laundering:
Act as the Money Laundering Reporting Officer (MLRO), produce an annual Money Laundering Report, and ensure staff receive anti-financial crime training. What's in it for You? A competitive salary and benefits, including Private Medical Insurance, birthday leave, and staff discounts. The chance to make a real difference in a growing company with a small enough team to feel your impact. Challenging, meaningful work that lets you showcase your skills and drive innovation. What do you need to succeed? Degree-level education (or equivalent) with current or recent experience in FCA SMF 16 and SMF 17 roles. Proven leadership experience in compliance and risk management in a regulated financial services firm. Strong analytical, communication, and presentation skills, with high integrity in senior leadership roles. Experience in a financial planning firm, including work on ongoing service review issues, is a plus but not essential. This role can be office-based or remote, with travel to other group locations as needed. Who are Argentis? What do we do?
This position is with Argentis Wealth Management - an Independent Financial Advice firm, authorised by the Financial Conduct Authority, owned by Hurst Point Group. We have one mission at our core: giving our clients confidence in their finances. We offer a broad range of wealth management and financial planning services to our clients, ranging from large scale investors and companies to individuals and small businesses. We're looking for talented people to join our teams, to help us achieve our goals and build for the future. We are committed to equality of opportunity for all, we care passionately about our staff and are committed to promoting and protecting the physical and mental health of all our employees. No Agencies Please
#J-18808-Ljbffr
