This Compliance Director role is primarily Home-Based, Occasional travel to London office and infrequent visits to Milton Keynes, Rickmansworth and St Albans Salary: £80,000 basic + excellent and extensive benefits

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.
This financial advice company values trust, continuity and doing things properly. They are an award-winning and highly respected financial services group with an outstanding reputation for both client service and employee experience.
This group has built a culture where people feel supported, valued and able to thrive.
The Compliance Director role carries substantial responsibility and influence. The successful individual will hold:
*SMF16 – Compliance Oversight
*SMF17 – Money Laundering Reporting Officer
You will lead the compliance framework across the financial planning business, ensuring robust governance, proportionate controls and a client-first approach to risk management. Working closely with the Managing Partner, Group Committee and wider senior stakeholders, you will provide trusted guidance at leadership level while maintaining a practical, commercial mindset.
Client relationships within this company are long-standing and deeply valued. Clients buy into genuine financial planning, establishing clear aims and objectives, building a plan, and reviewing progress regularly to stay on track.
Key responsibilities of this Compliance Director:
*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
*Present clearly and credibly to senior partners and committees
We are seeking an experienced Compliance Director with a background in financial planning / IFA businesses.
You are likely to bring:
*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
This is an outstanding opportunity for a Compliance Director who wants more than just monitoring and oversight. It is a chance to become a genuine strategic voice within a respected, values-led and client-centric business where your expertise will be listened to and valued.