Head of Compliance (SMF16/17) - Exclusive Assignment
Flexible UK Location | Growing Wealth Management Firm | Six Figure Package
An exciting opportunity has arisen for a Head of Compliance to join a rapidly growing, forward-thinking wealth management firm with national ambitions and strong financial backing.
The business has clear plans to expand significantly over the next few years, including a combination of organic growth and acquisition. With a network of advisers across multiple UK regions and further office openings planned, this role will be central to shaping the firm’s compliance and governance framework as it scales.
As Head of Compliance (SMF16/17), you will lead the firm’s compliance function, ensuring robust oversight, effective Appointed Representative management, and a strong compliance culture that supports commercial growth.
You’ll provide strategic advice to senior leadership, maintain open and constructive relationships with the FCA, and ensure the firm continues to operate to the highest regulatory standards.
Key Responsibilities:
* Oversee the design and continuous improvement of the compliance and governance framework.
* Lead on regulatory engagement and reporting.
* Support AR onboarding, monitoring, and oversight as the business scales.
* Provide proactive compliance guidance to the Board and senior management.
* Champion a culture of accountability, transparency, and ethical conduct.
What We’re Looking For:
* Significant experience in a senior compliance position within wealth management, financial advice, or an IFA network.
* Prior approval (or readiness) for SMF16/17.
* Strong knowledge of FCA regulations, particularly relating to Appointed Representatives and network supervision.
* Commercially minded, pragmatic, and able to balance regulatory rigour with business enablement.
* Excellent communication and leadership skills.
This is a unique opportunity to join an ambitious, well-funded firm at a pivotal stage of its growth journey, with the autonomy and influence to build something exceptional.