Compliance Director - High-net-worth financial planning company
Salary: £80,000 basic + Excellent and extensive Benefits
A rare leadership opportunity in a high-quality boutique financial planning company.
We are seeking an experienced Compliance Director with a background in financial planning / IFA businesses. Primarily Home-Based with occasional travel to London office and infrequent visits to satellite offices
This highly respected high net worth and ultra-high net worth boutique financial planning business is searching for a new Compliance Director. This is a significant appointment, created due to the planned retirement of the current incumbent. It offers the chance to step into a senior leadership role within a high-net-worth wealth management company where quality, professionalism and long-term client relationships sit at the heart of everything they do.
The business combines expert financial planning with wider private client tax expertise, creating a truly joined-up client proposition. Clients benefit from seamless advice across tax, wealth and long-term planning needs.
Key responsibilities:
*Lead compliance oversight across the regulated business
*Maintain and enhance risk management frameworks
*Ensure full alignment with FCA rules and regulatory expectations
*Oversee Consumer Duty implementation and evidencing of good outcomes
*Conduct suitability reviews on complex client files and cases
*Provide expert guidance to advisers and senior leadership
*Work closely with the current Compliance Manager
*Support the rollout of a new electronic document repository and enhanced audit trail processes
*Maintain MLRO responsibilities and financial crime controls
Compliance Director requirements:
*Strong understanding of FCA regulation, particularly COBS
*Experience holding senior compliance responsibility in an advisory environment
*Knowledge of pensions, investments, trusts and complex planning arrangements
*Strong suitability review experience
*Excellent understanding of Consumer Duty
*Gravitas and confidence engaging with senior partners and executives
*Strong communication, presentation and stakeholder management skills
*Commercial judgement with a pragmatic, solutions-led mindset
Compliance Director Benefits:
*The salary will be circa £80,000
*28 days’ holiday
*Matched Pension scheme
*Private medical insurance
*Option to buy and sell holidays
*Health cash plan
*And more!