Location
Newcastle Under Lyme
Salary £60000 - £90000 TypePermanent WorkplaceHybrid Ref88811
Recruiter Managing This Role
Head of Compliance (IFA) Stoke-on-Trent Up to £90,000
Were partnering with a highly regarded, independent wealth management firm known for its strong family values and forward-thinking approach. The firm are award winning winning the Wealth Management & Asset Management Sectors.
The Opportunity
This newly created Head of Compliance role will be instrumental in supporting the firms next stage of growth. Compliance is currently outsourced, so you will lead the development of an in-house function while continuing to liaise with external providers where appropriate.
Youll take full ownership of regulatory compliance, including FCA reporting, oversight of policies and procedures, advice to the board, and ensuring the wider team remains up to date and compliant as the business grows.
This is an excellent opportunity for someone who wants to step into a meaningful leadership role within a respected firm that genuinely values independence and long-term succession planning.
What Were Looking For
Extensive experience in a senior compliance position within financial planning or wealth management
Strong working knowledge of FCA requirements and best practice
Commercially aware, pragmatic, and able to balance compliance with business goals
Previous experience of working within SMF16/SMF17 Function for FCA regulated firm
Minimum Level 4 Diploma qualified ideally working towards Chartered
Benefits Include:
1. Performance related bonus + profit share
2. Full financial backing and time off for professional qualifications
3. Group pension scheme, income protection and death in service
4. Mental health and wellbeing support
5. Strong social culture with regular team events and away days
6. Agile working policies and flexibility to work from home
7. Private medical cover
8. Death in service benefit