Head of Compliance & Risk

Head of Compliance & Risk focuses on they have built their business by challenging the traditional financial planning model - leveraging technology to deliver efficient, high-quality advice at scale - and their approa.

What the role involves

• They have built their business by challenging the traditional financial planning model - leveraging technology to deliver efficient, high-quality advice at scale - and their approa.
• They don't want someone to simply manage a rulebook.
• 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.
• Drive efficiency across the function.
• Use technology and AI creatively to improve compliance processes.

Skills and requirements

• Experience in a fintech or technology-forward financial services environment would be a significant advantage.

Candidate fit

• 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 pro.

Additional role context

• This is one of the most genuinely exciting compliance roles in the UK financial planning market right now - and it is not for everyone.
• 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.
• Ideal scenario - finding somebody that combines both of these profiles!