Job Description
About the Role
MERJE are delighted to be partnering with a leading firm within the Investment and Financial Planning sector as they seek an experienced and strategic Head of Compliance Advisory to support the Chief Risk Officer in delivering a high-quality, risk-based compliance advisory service across the organisation.
This is a key leadership role responsible for ensuring the business operates in line with all applicable regulatory requirements, internal policies, and industry best practices. You will play a critical role in shaping how compliance is embedded across the organisation—supporting business growth while maintaining strong regulatory oversight.
The firm operate a flexible hybrid working policy with the week split across home and office working.Office locations include Leeds and Manchester.
What You’ll Be Doing
As Head of Compliance Advisory, you will:
* Lead the delivery of a credible, responsive, and commercially aware Compliance Advisory service to the business
* Provide expert guidance on regulatory requirements, including:
* Conduct of Business
* Data Protection (including GDPR)
* Product development and business change initiatives
* Act as a key part of the second line of defence, identifying, assessing, and escalating control weaknesses
* Oversee the identification, investigation, and reporting of compliance breaches and incidents
* Interpret and communicate new and emerging regulations, ensuring timely and effective implementation across the business
* Produce high-quality reporting for Executive and Board Risk Committees, providing clear insight into regulatory risk exposure
* Lead and embed a strong compliance culture, including the design and delivery of training across the organisation
* Provide leadership, direction, and support to Compliance team members, enabling effective oversight and challenge
* Build and maintain strong relationships with stakeholders at all levels, including senior leadership
* Represent Compliance in key forums, committees, and working groups
* Deputise for the Chief Risk Officer where required
What We’re Looking For
You will be a confident and credible compliance professional with the ability to influence at senior levels. You’ll bring:
* Proven experience in a compliance, risk, or audit role within an Investments, Financial Planning or Financial Advice environment (minimum 5 years)
* Strong working knowledge of regulatory frameworks and industry best practice, including Conduct Risk and Data Protection
* Experience delivering compliance advisory services within a complex organisation
* The ability to interpret complex regulations and translate them into clear, practical business guidance
* Confidence to challenge constructively and manage conflict effectively
* Experience producing and presenting reports to senior and executive stakeholders
* Excellent interpersonal, communication, and stakeholder management skills
* Strong organisational skills with the ability to manage multiple priorities in a fast-paced environment