Head of compliance

⭐️ Head of Compliance

📍 Home Based

💰 c.£85,000+ Benefits

Our client is a leading wealth management firm who are looking for a Head of Compliance to join a growing and dynamic Independent Financial Adviser firm. This is a key leadership position responsible for overseeing the compliance framework, ensuring adherence to FCA regulations, and embedding a strong compliance culture across the business.

This role offers the opportunity to work closely with senior leadership, influence strategic decisions, and play a pivotal role in safeguarding the firm’s regulatory standing.

Role & Responsibilities: 📋

• Lead and manage the firm’s compliance and regulatory framework, ensuring alignment with FCA requirements
• Act as the primary point of contact for regulatory bodies, including the Financial Conduct Authority (FCA)
• Oversee monitoring, audits, and compliance reviews across advisory and operational functions
• Provide expert guidance on regulatory developments, including Consumer Duty and ongoing FCA policy changes
• Develop, implement, and maintain policies, procedures, and controls
• Produce and present Management Information (MI) and compliance reports to the Board
• Support and challenge advisers to ensure client outcomes meet regulatory and ethical standards
• Lead training and competence programmes to ensure staff remain fully compliant
• Investigate and resolve compliance breaches, complaints, and incidents

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 Level4 Diploma in Financial Planning as a minimum
• Previous experience holding or supporting SMF16 (Compliance Oversight) or similar controlled function is desirable but not essential

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.