Head of Compliance
Maidenhead office (3 days per week in the office).
Are you a proactive, creative and forward-thinking compliance professional who wants full ownership of a vital function inside a growing Independent Financial Advice business? This is a rare opportunity to take a Head of Compliance role and shape it into your own vision of what excellent compliance should look like. If you’re ready to lead, influence and elevate standards across an FCA-regulated environment—this is the role for you.
You’ll design, implement and enhance the firm’s compliance framework, support risk management, conduct monitoring and thematic reviews, and act as the principal liaison with the FCA. This role demands initiative, ownership and the ability to embed a culture of compliance throughout the business.
Key Responsibilities
* Hold SMF16/17 responsibilities and lead the firm’s regulatory oversight
* Monitor, interpret and implement FCA requirements including COBS, SYSC, SM&CR, Consumer Duty, AML and financial crime regulations
* Develop and maintain compliance policies, procedures, manuals and governance documentation
* Own and manage the Compliance Monitoring Programme including file reviews, thematic assessments, surveillance and process audits
* Ensure product suitability frameworks are robust and deliver positive client outcomes
* Oversee AML/CTF processes including CDD, EDD, sanctions screening, transaction monitoring and suspicious activity reporting
* Act as FCA liaison, attending meetings, managing regulatory submissions and overseeing SM&CR records
* Keep the business up to date through monthly compliance memos, ongoing training and annual refreshers
* Work closely with central risk & compliance teams and external advisers to maintain alignment and strengthen controls
* Provide clear, commercial regulatory guidance to advisers, leadership and wider teams
* Manage complaints, conduct investigations, ensure root-cause analysis and implement remediation
* Maintain compliance registers including GDPR, breaches, conflicts, financial promotions and PA dealing
* Conduct risk assessments and horizon scanning, identifying regulatory risks and recommending action
Skills & Experience Required
* Minimum 5 years’ experience in compliance within wealth management, IFA or related financial services environments
* Strong and current knowledge of FCA Handbook requirements including COBS, SYSC, AML/MLR, Consumer Duty, suitability and governance standards
* Skilled in policy creation, risk assessment, compliance monitoring and regulatory reporting
If you’re ready to take the lead and build a best‑in‑class compliance function, we’d love to hear from you.
Contact: peter@financialdivisions.co.uk
Seniority level: Director
Employment type: Full‑time
Job function: Finance
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