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Job Specification


£100K - £125K Good Benefits including 30 Days Holiday | Hampshire, Hybrid
Ref: 3897G5

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent


We are exclusively recruiting for a newly regulated Funeral Planning business looking to appoint a Head of Compliance & Risk (SMF16) to support the CEO and board in further developing the compliance function, frameworks and programme.  As part of the senior management team and reporting directly to the CEO, duties will include: 


  • Responsible and accountable for the Group Compliance and Risk function ensuring that the business and Directors adhere to all relevant regulations that impact the business. 

  • Successfully embedding Compliance and Risk frameworks across the Group, and managing the compliance and risk activities within the agreed frameworks. 

  • Responsibility for overseeing the firm’s compliance with the FCA AML rules on systems and controls. 

  • Chairing FCA Committee meetings as and when required.  

  • Oversight and delivery of the annual compliance and risk monitoring plans  

  • Responsible for producing and maintaining all relevant policies, procedures and processes.  

  • Reviewing and Developing the Group’s Risk Register, and embedding culturally across the Group.  

  • Working closely with the Managing Directors to manage the risk appetite of the Group, and provide regular reporting of Compliance and Risk Issues  

  • Identify, assess, monitor, and report on compliance risk exposures, and potential impact on strategy of new and emerging risk, and advise on ways to mitigate such risk   

  • Monitoring UK regulatory developments affecting the firm's business and working with other resources to ensure timely implementation 

  • Updating the firm's compliance monitoring program as and when necessary and maintaining the compliance and risk manuals 

  • Overseeing compliance and risk functions outsourced to third party service providers  

  • Preparing reports for senior management and external regulatory bodies as appropriate 

The successful candidate must have held a Senior Compliance Role (and be eligible to hold SMF 16)  in a Retail Financial Services business and have the ability to cultivate a positive compliance culture, foster executive level relationships and influence & direct your colleagues at all levels.  


This is an excellent opportunity to join a well-established firm now learning to operate under FCA regulations in a role that will be visible and influential across the business and give you early experience in this newly regulated field.  


This role is offered as hybrid based at their Head Office in Hampshire. 

If this sounds an interesting opportunity and would like to know more, please call Gary Collins on 020 7562 7400 for a confidential discussion about this position or send your details to (including a contact number & email) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission). 


Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. 

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

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