Eversheds Sutherland
Interim Head of Risk & Compliance - Financial Advice Network
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We are seeking an experienced Interim Head of Risk & Compliance to lead the risk and compliance function for a UK financial advice network.
The role will have a strong focus on regulatory compliance, risk management and oversight of the network's Appointed Representatives (ARs). The successful candidate will provide senior-level advice and challenge, assess the effectiveness of the current risk and compliance framework, and ensure the network meets its regulatory and conduct obligations.
Direct experience of Appointed Representatives within a financial advice network is essential.
Key Responsibilities
- Lead the network's risk and compliance framework, ensuring it is effective, proportionate and risk-based.
- Provide oversight and challenge across the network and its Appointed Representatives.
- Review and strengthen AR onboarding, due diligence, risk assessment, supervision and ongoing monitoring.
- Oversee compliance monitoring and identify regulatory, conduct and customer-outcome risks.
- Ensure appropriate management of breaches, incidents, complaints, risks and remediation activity.
- Provide guidance on FCA requirements, Consumer Duty, suitability and conduct risk.
- Maintain effective risk registers, compliance plans, MI and governance reporting.
- Identify emerging risks and provide clear recommendations to senior management and the Board.
- Work closely with senior stakeholders, AR principals and advisers to embed a strong culture of compliance and risk management.
- Support regulatory change, FCA interactions and any remediation or improvement programmes.
- Ensure issues are appropriately escalated, investigated and resolved.
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The successful candidate must have:
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- Significant senior experience in UK financial services.
- Direct and demonstrable experience of Appointed Representatives (ARs) — this is essential.
- Previous experience within a financial advice network or similar regulated environment.
- Strong knowledge of the FCA regulatory framework and financial advice sector.
- Experience leading or managing risk and compliance functions.
- Strong understanding of AR oversight, compliance monitoring and regulatory risk.
- Experience with Consumer Duty, conduct risk and customer outcomes.
- Experience reporting to senior management, executives and/or Board-level committees.
- Excellent communication skills and the confidence to provide robust challenge.
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