We now require an experienced Compliance lead to be responsible for managing a small compliance team and for the ongoing monitoring and reporting of procedures, working to develop and embed the regulatory framework to ensure the business is fully compliant with all requirements.

We require someone who can communicate our compliance and risk processes and systems effectively to all areas of the business and can handle an ever changing and dynamic working environment. The role would suit someone with a strong background in compliance and risk within a wealth management environment.

As part of the Senior Leadership team and as our Head of Compliance and Risk you will lead the Risk and Audit Committee and be expected to participate in senior discussion. Whilst this role is predominantly about following the rules, the ideal candidate will be able to communicate with humour, common sense and pragmatism.

At Equilibrium we offer plenty of autonomy in an entrepreneurial environment. With this in mind this role could be a great alternative to anyone impacted by IR35.

The ideal candidate will be responsible for the following;

  • Ensuring that the team are educated on regulatory issues and that the mandatory compliance training, including senior management regime training, is rolled out to all staff and relevant board members.

  • Identifying, documenting and assessing the compliance risks associated with the firm’s business activities, across all departments and participating in high level discussion.
  • Maintain and develop where applicable the compliance, AML and other regulatory requirements of the business, being responsible for the delivery of the same.
  • The successful progression of a robust, internal & external compliance monitoring plan, supporting a culture where the role of compliance in the business is understood and valued.
  • Reporting to the regulators where appropriate, on compliance matters, such as regulatory risk assessments, including any changes in regulatory risk, summarising any identified breaches and/or deficiencies and the corrective measures recommended to address them
  • To assist in the preparation of data required for FCA reporting such as; Gabriel reporting, Fee Tarif data, Standing Data and update as appropriate
  • Other areas that will require input are ICAAP/Liquidity audits, remuneration codes, insurance renewals
  • T & C Monitoring
  • SMCR ongoing ownership
  • Oversee Investment Management procedures and identify any risks
  • Oversee and assist file reviews carried out by the Compliance Team
  • Write, establish and maintain appropriate policies, procedures, systems and controls to ensure all legal and regulatory standards are adhered to and business requirements are met
  • Manage, monitor, analyse and communicate regulatory changes ensuring we remain compliant with regulatory requirements including advice on remedial steps
  • Take ownership of the Compliance Monitoring programme to ensure  it remains on schedule and all elements are reviewed
  • Raising issues as appropriate and seeing those issues through to resolution
  • Work with all areas of the business to embed the culture of good compliance, AML, risk practice and TCF including delivering relevant training
  • To perform other tasks as considered appropriate to the proper execution of the responsibilities of the role of Compliance Manager
  • Review and assess FCA permissions and standing data on FCA website and keep up to date with FCA bulletins and maintain relevant knowledge

Experience required

  • Ideally Level 6 Diploma in Regulated Financial Planning (will consider level 4) or related qualification
  • Strong product technical skills and the ability to apply these
  • Senior leadership management experience
  • Proficient knowledge and experience of regulatory compliance
  • Proven track record of meeting multiple objectives with evidence of a commitment to attain  best practice
  • Detailed understanding of regulatory rules and standards
  • Proven track record of meeting multiple objectives with evidence of a commitment to the attainment of good practice
  • Demonstrable skills around attention to detail and accuracy
  • Ability to recognise and score compliance risk, adjusting the intensity of compliance monitoring as appropriate
  • Ability to challenge business products and processes to ensure regulatory compliance and have the ability to manage and influence regulatory and senior management relationships
  • Able to communicate brilliantly with all staff levels to ensure regulatory knowledge is transferred and applied through your open and inclusive approach. You are comfortable with an agile approach to business change and using your skill set to enable business development
  • Knowledge and experience of the FCA handbook with the ability to provide guidance and support on forthcoming developments and the firm's regulatory obligations.

Being a member of the Equilibrium team you  will have no problems:

  • Getting things done
  • Being authentic and real, we don’t want any phoneys
  • Displaying massive amounts of enthusiasm, energy, positivity, motivation and passion without exhausting those around you! 
  • Passionate about learning and growth
  • Motivated to do a great job
  • Able to change tack without it sending you into a tail spin
  • Comfortable with change and a fast paced environment
  • Displaying huge amounts of integrity, a fantastic work ethic and generally being a great person to have around!
  • Being a  self-starter who embraces responsibility and can manage own time
  • Excellent oral and written communication skills and personal presentation skills
  • Demonstrate resilience and flexibility in a demanding and fast paced environment

About Us 

Finding the right people is at the heart of our success. Our hard-working, friendly team have fostered a healthy working environment that aims to bring out the best in everyone that works here. 

We are very proud of our team and their commitment to excellence. We reward all team members with some of the most competitive salaries in the market place, challenging and exciting roles, fantastic benefits and a great place to work.  

We have a friendly and relaxed recruitment process that sets us apart from other companies from the very start! 

If you want to enjoy the time you spend at work and believe you have the relevant qualifications, a commitment and willingness to work for an award winning, forward thinking business, then why not check us out on FacebookTwitter or Instagram to see what the team get up to!

The package

Competitive basic salary, contributory pension, bonus, 33 days holiday plus bank holidays (going up to 38 with length of service) plus loads of other great benefits.

Find out more about what you get here

Apply for this job

If this job sounds like the one for you please fill in the form below and we'll be in touch as soon as possible.

Captcha Code


Our Instagram story....

Follow us on Instagram

Equilibrium Financial Planning LLP (OC316532) and Equilibrium Investment Management LLP (OC390700) are authorised and regulated by the Financial Conduct Authority and are entered on the financial services register under references 452261 and 776977respectively. Registered Offices: Ascot House, Epsom Avenue, Handforth, Wilmslow, SK9 3DF. Both companies are registered in England and Wales.

Follow us