Head of Compliance Wealth Advisory

1 week ago

Cirencester Gloucestershire, United Kingdom This is an IT support group Full time

St. James's Place (SJP) works in partnership to plan, grow and protect our clients’ financial futures. We deliver personalised, face-to-face financial advice to our clients, who trust us to manage their money to reach their goals. We provide this service via the Partnership, a network of qualified, expert advisors. We put financial wellbeing and responsible business choices at the heart of everything we do. We believe in the value of difference and know that diverse teams can help us problem solve and innovate for clients.

We look for people to join SJP to make an impact and to contribute to our culture which is based around long term relationships, doing the right thing, and being the best version of ourselves.

Location: Cirencester Office

Workplace Type: Hybrid

Employment Type: Permanent

Seniority: Director

What you’ll be doing:

At SJP our mission is to empower our clients with invaluable advice to realise bolder ambitions. Our Compliance function underpins our advice model, ensuring that we have the structures in place to deliver great client outcomes.

Our Compliance function is growing to support our refreshed purpose and strategy and we are recruiting for a newly created leadership role to take accountability for the compliance planning & strategy for SJP Wealth Management.

As a trusted advisor you will provide high quality subject matter expertise to the Group Compliance Director, the Wealth Management function and the wider business on regulatory issues to ensure regulatory expectations and industry good practice is met.

In this role you will:

  • Lead on setting the compliance priorities, maintaining a core understanding of the regulatory priorities and issues.
  • Act as a trusted advisor demonstrating judgement on regulatory matters whilst signposting regulatory risk. Provide subject matter expertise to the Group Compliance Director, wider Compliance team and business on regulatory issues.
  • Present, where appropriate, on regulatory issues to the SJP Board, Executive Committees, and other relevant governance and management teams whilst engaging with the wider business on regulatory issues.
  • Provide subject matter expertise, advice and challenge to regulatory and strategic projects relevant to Wealth Management whilst highlighting regulatory risks.
  • Support the FCA supervisory relationship.
  • Lead by example to champion a culture of compliance across SJP. Work collaboratively with colleagues in Risk and Compliance and across the business to deliver good outcomes for clients.

Who we’re looking for:

You will have strong previous experience in compliance advisory roles within the financial services industry with strong product knowledge including pensions, investment schemes and related investment products.

You will have a proven understanding of the relevant risk, compliance and regulatory considerations together with a good understanding of the three lines of defence model. The successful candidate will hold a relevant qualification in financial advice or related compliance industry qualifications (CISI, CII or similar).

We are looking for someone with excellent all-round communication skills, excellent influencing skills, able to build consensus and provide assurance through their expertise and approach.

What's in it for you?

  • Private Medical paid for by Company.
  • Meaningful protection benefits with real value, such as 10X life cover, PHI, and critical illness.*
  • Non-Contributory Pension – 10% (increasing with length of service up to 15%) with further pension matching.
  • Parental leave – 6 months full pay
  • 28 days holiday entitlement plus bank holidays (based on full-time equivalent) with the option to buy up to an additional 5 days holiday.
Flexible Working We know that everyone works best in different ways, at different times and in different environments. We have introduced a hybrid working policy to provide greater flexibility for part-time work, job-sharing, remote working, and flexibility on hours. Our people are encouraged to work in a flexible way that suits their lifestyle, so please ask the question and start a conversation

Research tells us that applicants (especially those from underrepresented groups) can be put off from applying for a role if they do not meet all the criteria or have been on an extended career break. If you think you would be a good match for this role and can demonstrate some transferable experience please apply, regardless of whether you tick every box.

Reasonable Adjustments

We're an equal opportunities employer and want to ensure our recruitment process is accessible and inclusive for all, if you require reasonable adjustment(s) at any stage please let us know by emailing us at careers@sjp.co.uk

What's next?

Our team will be in touch. As a business regulated by the FCA we would advise you to familiarise yourself with the conduct regulations and in particular consumer duty obligations prior to an interview with SJP.

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