About the Company We're partnering with a fast‑growing, FCA‑regulated digital wealth platform that is redefining how modern professionals build and manage their wealth. The business has been built to address a clear gap in the market - giving mass‑affluent individuals (e.g. high‑earning professionals, founders, and entrepreneurs) access to sophisticated financial tools and investment opportunities traditionally reserved for private banking clients. Their platform combines: Actively managed investment portfolios Tax‑efficient savings solutions Lending products (portfolio‑backed credit) Access to alternative investments (e.g. private markets - current and upcoming) A financial advice proposition Having already surpassed £100M AUM within a short period, the business is now entering a true scale‑up phase, with a clear trajectory toward £1B AUM. The team is still relatively small (~20 people), but highly capable, and the culture is: Ambitious and fast‑paced Highly collaborative Product‑led and customer‑focused Built around ownership and accountability This is a business that is building something genuinely differentiated in wealthtech, not simply iterating on existing models. The Role This is a critical leadership hire - taking ownership of the compliance and financial crime function as the business scales and product complexity increases. The current framework is strong (no legacy issues), but the next phase requires someone who can evolve compliance into a scalable, product‑embedded function. You will: Take ownership of (or step into) SMF16 & SMF17 responsibilities Lead and scale a lean compliance & financial crime function Embed compliance into product, engineering, and operations Support the rollout of new and increasingly complex investment products Oversee regulatory areas including: MiFID / COBS Product governance Consumer Duty Financial crime frameworks CASS / client money permissions Financial promotions Act as the primary point of contact with the FCA Guide the business through key regulatory milestones, including: Scaling AUM Client money permissions Launch of financial advice Build systems and processes that enable scale, rather than relying on manual oversight Shape the overall compliance culture of the company Why This Role is Different You're not inheriting a broken function - you're scaling an already strong one The product stack is multi‑layered and evolving quickly Investment propositions are becoming increasingly sophisticated and differentiated You'll operate at the heart of product and strategy, not as a back‑office function You'll work directly with a high‑calibre founding team You'll have real influence over how compliance is built in a modern wealth business What They're Looking For Strong experience in investment or wealth‑management compliance (MiFID, COBS, suitability/appropriateness, investment platforms, portfolio oversight, or similar) Experience operating in an FCA‑regulated environment Strong understanding of financial crime / AML frameworks Ability to operate at senior / Board level Experience building or significantly evolving compliance frameworks Comfortable across multi‑product environments Appetite to take on (or step into) SMF16/17 responsibilities Highly Desirable Experience in wealthtech, fintech, or high‑growth environments Exposure to: CASS / client money Alternative investments Lending alongside investments Advice or advisory models Experience working closely with product & engineering teams The Ideal Profile This role will suit someone who: Combines strong investment‑regulatory knowledge with a practical, commercial mindset Enjoys building and scaling, not just maintaining Is comfortable operating in a lean, fast‑changing environment Can strike the right balance between control and enabling growth Wants to be part of a business shaping the future of wealth, not following it Package & Location £90,000-£115,000 base salary (flexible for the right candidate) Equity participation Cardiff or London based (3-4 days per week preferred) If you're looking for a role where you can own, shape, and scale compliance within a genuinely innovative wealth platform, this is one of the most interesting opportunities currently on the market.