Clayton Davies
Head of Compliance
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⭐️ Head of Compliance
📍 Birmingham
💰 Competitive Salary
Our client is a leading wealth management firm who are looking for a Head of Compliance to lead regulatory oversight and manage training and competency standards across the growing firm.
Role & Responsibilities: 📋
- Lead and manage the firm’s compliance and regulatory framework, ensuring alignment with FCA requirements
- Oversee the compliance framework and ensure adherence to regulatory requirements
- Act as the main contact for regulators and manage reporting obligations
- Identify risks and implement effective controls and monitoring processes
- Provide practical compliance guidance to senior leadership
- Lead the training and competency programme, ensuring staff meet required standards
- Oversee file reviews, audits, and ongoing performance monitoring
- Ensure policies, procedures, and governance arrangements remain effective
- Operate as the firm’s T&C lead.
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Do you have the following to apply? ✅
- Proven experience in a senior compliance role within an IFA / wealth management / financial planning firm
- Strong understanding of FCA regulations, including Consumer Duty, TCF, and SM&CR
- Hold the Level 4 Diploma in Financial Planning as a minimum.
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Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Clayton Davies is acting as an employment agency on behalf of our client.
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