Head of Compliance Wealth Advisory
St. James's Place
United Kingdom
Published 3 weeks ago
Business Compliance
St. James's Place (SJP) works inpartnership to plan, grow and protect our clients' financial futures. Wedeliver personalised, face-to-face financial advice to our clients, who trustus to manage their money to reach their goals. We provide this service via thePartnership, a network of qualified, expert advisors. We put financialwellbeing and responsible business choices at the heart of everything we do. Webelieve in the value of difference and know that diverse teams can help usproblem solve and innovate for clients.
We look for people to join SJP to make animpact and to contribute to our culture which is based around long termrelationships, 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 invaluableadvice to realise bolder ambitions. Our Compliance function underpins ouradvice model, ensuring that we have the structures in place to deliver greatclient outcomes.
Our Compliance function is growing to support our refreshedpurpose and strategy and we are recruiting for a newly created leadership roleto take accountability for the compliance planning & strategy for SJPWealth Management.
As a trusted advisor you will provide high quality subjectmatter expertise to the Group Compliance Director, the Wealth Managementfunction and the wider business on regulatory issues to ensure regulatoryexpectations and industry good practice is met.
In this role you will:
You will have strong previous experience in complianceadvisory roles within the financial services industry with strong productknowledge including pensions, investment schemes and related investmentproducts.
You will have a proven understanding of the relevant risk,compliance and regulatory considerations together with a good understanding ofthe three lines of defence model. The successful candidate will hold a relevantqualification in financial advice or related compliance industry qualifications(CISI, CII or similar).
We are looking for some with excellent all roundcommunication skills, excellent influencing skills, able to build consensus andprovide assurance through their expertise and approach.
What's in it for you?
Flexible WorkingWe know that everyone works best indifferent ways, at different times and in different environments. We haveintroduced a hybrid working policy to provide greater flexibility for part-timework, job-sharing, remote working, and flexibility on hours. Our people areencouraged to work in a flexible way that suits their lifestyle, so please askthe question and start a conversation!
Research tells us that applicants(especially those from underrepresented groups) can be put off from applyingfor a role if they do not meet all the criteria or have been on an extendedcareer-break. If you think you would be a good match for this role and candemonstrate some transferable experience please apply, regardless of whetheryou tick every box.
Reasonable Adjustments
We're anequal opportunities employer and want to ensure our recruitment process isaccessible and inclusive for all, if you require reasonable adjustment(s) atany stage please let us know by emailing us at careers@sjp.co.uk
What's next?
Our team will be in touch. As a businessregulated by the FCA we would advise you to familiarise yourself with theconduct regulations and in particular consumer duty obligations prior to aninterview with SJP.
#LI-HYBRID
We look for people to join SJP to make animpact and to contribute to our culture which is based around long termrelationships, 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 invaluableadvice to realise bolder ambitions. Our Compliance function underpins ouradvice model, ensuring that we have the structures in place to deliver greatclient outcomes.
Our Compliance function is growing to support our refreshedpurpose and strategy and we are recruiting for a newly created leadership roleto take accountability for the compliance planning & strategy for SJPWealth Management.
As a trusted advisor you will provide high quality subjectmatter expertise to the Group Compliance Director, the Wealth Managementfunction and the wider business on regulatory issues to ensure regulatoryexpectations 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.
You will have strong previous experience in complianceadvisory roles within the financial services industry with strong productknowledge including pensions, investment schemes and related investmentproducts.
You will have a proven understanding of the relevant risk,compliance and regulatory considerations together with a good understanding ofthe three lines of defence model. The successful candidate will hold a relevantqualification in financial advice or related compliance industry qualifications(CISI, CII or similar).
We are looking for some with excellent all roundcommunication skills, excellent influencing skills, able to build consensus andprovide 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 WorkingWe know that everyone works best indifferent ways, at different times and in different environments. We haveintroduced a hybrid working policy to provide greater flexibility for part-timework, job-sharing, remote working, and flexibility on hours. Our people areencouraged to work in a flexible way that suits their lifestyle, so please askthe question and start a conversation!
Research tells us that applicants(especially those from underrepresented groups) can be put off from applyingfor a role if they do not meet all the criteria or have been on an extendedcareer-break. If you think you would be a good match for this role and candemonstrate some transferable experience please apply, regardless of whetheryou tick every box.
Reasonable Adjustments
We're anequal opportunities employer and want to ensure our recruitment process isaccessible and inclusive for all, if you require reasonable adjustment(s) atany stage please let us know by emailing us at careers@sjp.co.uk
What's next?
Our team will be in touch. As a businessregulated by the FCA we would advise you to familiarise yourself with theconduct regulations and in particular consumer duty obligations prior to aninterview with SJP.
#LI-HYBRID