Full job descriptionOur client is a leading wealth management firm who are looking for an experienced Head of Compliance to lead regulatory oversight and manage training and competency standards across the growing firm.


Role & Responsibilities:


*Lead and manage the firm’s compliance and regulatory framework, ensuring alignment with FCA requirements
*Oversee the compliance framework and ensure adherence to regulatory requirements
*Act as the main contact for regulators and manage reporting obligations
*Identify risks and implement effective controls and monitoring processes
*Provide practical compliance guidance to senior leadership
*Lead the training and competency programme, ensuring staff meet required standards
*Oversee file reviews, audits, and ongoing performance monitoring
*Ensure policies, procedures, and governance arrangements remain effective


Do you have the following to apply?


*Proven experience in a senior compliance role within an IFA / wealth management / financial planning firm
*Strong understanding of FCA regulations, including Consumer Duty, TCF, and SM&CR
*Hold the Level 4 Diploma in Financial Planning as a minimum.


Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.


Clayton Davies is acting as an employment agency on behalf of our client.