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Head of Business Compliance and Risk, Cambridge (TB-1740)

£55000 - £65000 + Benefits

Role: Head of Business Compliance and Risk
Location: Cambridge
Package: Up to £65,000 Basic Salary + Benefits

Our client, a chartered financial planning firm based in Cambridge, are looking for a compliance and risk specialist to join the team. Due to their strong belief in developing and maintaining long-term and trusted client relationships, the firm are eager to find an individual who possesses honesty, loyalty, integrity, and an excellent work ethic. As the successful individual, you will be required to oversee all compliance and risk matters within the company as-well as work closely with the firm’s Directors, Financial Planners and Back-Office team.


  • You will be tasked with creating strategies and policies that ensure all company work is compliant with FCA regulations.
  • You will regularly assess and maintain the compliance of internal processes against current regulations so that staff can be appropriately advised and trained.
  • You will be required to keep on top of ‘best practice’ and to ensure that the business’ internal policies account for any changes within regulations and legislation.
  • You will be responsible for the supervision of the risk management team and the implementation of its objectives.
  • As part of the management team, you will be required to support the Board in working towards and attaining the company’s business objectives; As part of this, you will ensure that the strategies and priorities of the company are implemented whilst maintaining a positive working environment and a true client-centred approach.

Main Duties

  • You will be responsible for the supervision of the risk management team; Within this, you will be required to deal with any welfare issues, conduct regular staff appraisals as-well as monitor, expand and maintain individual and team professional development. You will also be required to communicate the company’s objectives and vision to the team.
  • You will develop, review and update policies, procedures and client facing documents.
  • You will review any and all breaches to identify whether the breach would be classified as reportable to the FCA.
  • You will ensure that the business is kept up to date on legislation, regulation, and best practice; This will be completed in partnership with the Compliance Officer.
  • You will build the risk awareness amongst staff by providing frequent support and training (where relevant).
  • You will assist in the planning, designing and implementation of the overall risk management process for the company.
  • You will identify and implement continuous improvement initiatives to increase business efficiency.
  • You will assist with the full company risk assessment; This will involve constantly analysing risks as well as identifying, describing, and estimating the risks affecting the company, its employees, clients, reputation, assets, and interests of shareholders.
  • You will arrange and oversee audits of policies and compliance whilst liaising with internal and external auditors.
  • You will assist the Compliance Officer with regulatory returns, surveys, and questionnaires.
  • You will review all major contracts or internal business proposals.
  • You will manage all of the company’s working relationships and regularly communicate with third party compliance support providers.
  • You will assist with the implementation of the company’s training and competency scheme.
  • You will ensure that the company strictly conforms to all GDPR requirements.
  • You will create and maintain records that enable management information to be provided to the Board as and when required.
  • You will maintain a strong and positive culture of compliance.
  • You will adhere to the company handbook and policies at all times whilst ensuring that all staff follow your example.
  • You will adhere to the compliance requirements and procedures as guided by risk management and the FCA.

About You

  • You will be CII level 4 diploma qualified (or equivalent); Level 6 status is desired but not essential. Management and Leadership courses/qualifications are also desired but not essential.
  • You will be able to achieve and maintain a high level of competence and performance as required by the firm.
  • You will have prior knowledge and experience of compliance and risk management within Financial Services.
  • You will have a strong working knowledge of FCA rules, regulations, and requirements.
  • You will have experience of managing a busy and varied workload; You will have experience of working to tight deadlines while managing changing priorities.
  • You will have experience of working within a busy and dynamic office environment.
  • You will have experience of managing individuals and providing regular training sessions.  
  • You will keep up to date with all relevant product, legislative and technical changes.
  • You will ensure that your CPD is maintained and recorded accurately; You will regularly review your own training needs and request appropriate personal professional training and development courses as required.
  • You will be able to demonstrate excellent planning and organisational skills as-well as evidence strong analytical skills and attention to detail.
  • You will be able to work under pressure both effectively and efficiently.
  • You will possess strong problem-solving and decision making skills; This will include an exceptional ability to negotiate and influence people.
  • You will have outstanding planning and project management skills.
  • You will have excellent verbal and written communication skills; This will include exceptional interpersonal and presentation skills.
  • You will be able to receive, understand and distribute information effectively; You will also be able to utilise this ability to actively build constructive relationships with all colleagues and key business stakeholders.
  • You will have a strong ability to deal with all business and personal matters professionally, effectively and within an agreed timeframe.
  • You will always be courteous, respectful, compassionate, and professional when dealing with clients, colleagues, and business associates
  • You will have excellent morals, ethics, and integrity.
  • You must be proficient in MS Office systems; Experience of working with Adviser Office and Curo is desired but not essential.
  • You will have detailed knowledge of industry standards and regulations; Strong commercial awareness is also desired.
Employment type: 
Employed (Full Time)
Financial Planning
Reference Number: