Location: Berkshire (Hybrid - 3 days in the office)
Employment Type: Full-Time
About the Opportunity

The organization is seeking a highly experienced Head of Compliance to lead its compliance strategy and ensure full adherence to regulatory requirements, including FCA standards such as COBS, SM&CR, and Consumer Duty.
This senior leadership role offers scope to build and grow a compliance team, while shaping the firm’s compliance framework during a transformative phase. The successful candidate will act as the primary liaison with the FCA, oversee critical areas such as AML, GDPR, and product suitability, and support the broader risk management strategy to mitigate legal and regulatory risks. This is an exciting time to join a firm that is experiencing a significant period of growth.
Key Responsibilities
*Hold SMF 16 and 17 responsibilities.
*Ensure compliance with FCA regulations, including COBS, SM&CR, and Consumer Duty.
*Monitor regulatory changes and update internal policies accordingly.
*Develop and embed compliance policies into day-to-day operations.
*Act as the main liaison with the FCA, attending meetings and managing communications.
*Oversee AML and CTF procedures, including CDD, suspicious activity reporting, and sanctions screening.
*Ensure GDPR compliance, including breach handling and subject access requests.
*Conduct audits, file checks, and transaction monitoring to ensure advice quality and regulatory compliance.
*Deliver compliance training and issue monthly compliance updates to staff.
Skills & Qualifications
*Strong knowledge of FCA regulations and UK financial services compliance requirements (COBS, MiFID II, GDPR, AML, KYC).
*Risk assessment and mitigation expertise.
*Excellent analytical, problem-solving, and communication skills.
*Leadership ability to build and grow a compliance team and promote a culture of compliance.
*Policy development and implementation experience.
Experience:
*5+ years in senior compliance roles within financial services, ideally in an IFA or wealth management environment.
*Familiarity with financial promotions sign-off, SIPPs, and platform products.
Professional Qualifications (preferred):
*CISI Diploma in Investment Compliance
*ICA certifications
*CII qualifications
What Makes This Role Exciting
*Join during a high-growth phase with real influence over compliance strategy.
*Potential to build and lead a team from the ground up.
*Competitive salary and benefits package.
*A collaborative and supportive working environment.
How to Apply:

Professionals with the expertise and passion for compliance leadership who want to make an impact during an exciting growth journey are encouraged to apply. Please submit a CV if you feel you have an applicable skillset.