Full job descriptionHead of Compliance | Wealth Management | Financial Services | Hybrid Hybrid Working
Competitive Salary + Benefits


A well-established, market-leading Wealth Management firm is looking for an experienced Compliance professional to step into the role of Head of Compliance and lead its compliance function.
This is an outstanding opportunity for an experienced Compliance Manager, Senior Compliance Manager or Deputy Head of Compliance looking to progress into a Head of Compliance position within a growing, adviser-focused business.
The RoleAs Head of Compliance, you will play a pivotal role in shaping the firm’s compliance strategy while working closely with senior leadership to support the continued growth of the business.
Key responsibilities include:
*Leading and developing the firm’s compliance framework.
*Providing regulatory advice and guidance across the business.
*Overseeing Consumer Duty, SMCR, Training & Competence (T&C) and FCA regulatory requirements.
*Sitting on the Investment Committee, providing regulatory guidance and challenge.
*Delivering compliance and regulatory training to Financial Advisers and Paraplanners.
*Leading compliance monitoring, regulatory reporting and policy development.
*Building strong relationships with senior leadership, advisers and the FCA.
*Supporting the business with pragmatic, commercial compliance solutions.
About YouYou’ll ideally have:
*Previous experience in a senior compliance role within Wealth Management, Financial Planning or Financial Services.
*Strong knowledge of FCA regulation, Consumer Duty, SMCR and Training & Competence.
*Experience working with senior stakeholders and influencing business decisions.
*Level 4 Diploma qualified (or equivalent).
*The ambition and capability to step into a Head of Compliance role.
What’s on Offer*Opportunity to progress into a Head of Compliance position.
*Senior leadership role with genuine influence.
*Hybrid working.
*Supportive, collaborative culture.
*Excellent long-term career prospects with a growing Wealth Management business.
ApplyIf you’re an experienced Compliance professional looking to take the next step into a Head of Compliance role, we’d love to hear from you.
Apply today with your CV or contact us for a confidential discussion.


Keywords: Head of Compliance, Compliance Manager, Senior Compliance Manager, Wealth Management, Financial Planning, FCA, Consumer Duty, SMCR, Training & Competence (T&C), Compliance.