We are a small but growing wealth management and financial planning firm, seeking an experienced Head of Compliance to take responsibility for our compliance and governance framework. This is an opportunity for someone who enjoys variety and is happy to roll up their sleeves – in a small firm you'll be involved in everything, from high-level FCA interactions to day-to-day practical oversight.
This role includes holding FCA Senior Manager Functions (SMF16/17). Flexible/part-time working can be considered, with scope for the role to grow over time as the firm expands.
Key Responsibilities
* Hold FCA Senior Manager Functions (SMF16/17) and act as Compliance Officer and MLRO.
* Oversee and develop the firm's compliance framework, policies and procedures.
* Provide hands-on monitoring and support to advisers and staff.
* Manage regulatory interactions, including RegData submissions.
* Support governance and risk management as the firm grows.
About You
* Proven compliance experience within a financial planning / wealth management firm.
* Level 4 Diploma qualified.
* Comfortable holding SMF16/17, with up-to-date regulatory knowledge and some experience of interacting with FCA.
* Strong communicator – able to balance technical detail with practical, commercial advice.
* Happy to be "hands on" in a small firm environment.
What We Offer
Flexible structure: part-time employment considered, with potential for growth in hours and responsibility.
Attractive package to include pension and life cover.
Opportunity to shape the compliance function in a growing firm.
Job Type: Part-time
Benefits:
* Company pension
* Life insurance
* Work from home
Application question(s):
* Do you hold the Level 4 Diploma in Financial Planning (CII, LIBF or equivalent)?
Experience:
* retail wealth management compliance: 5 years (required)
Work Location: Remote