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Head of Compliance | Wealth Management & Financial Advice Network
Are you an experienced Compliance leader with a deep understanding of the FCA regulatory landscape and the financial advice sector?
A leading UK wealth management and advice business is seeking a Senior Compliance Manager to play a pivotal role in shaping and overseeing compliance, supervision, risk management, and regulatory oversight across a nationwide network of financial advice firms.
Reporting directly to the Chief Risk Officer, this is a highly visible leadership role with responsibility for managing supervisory, quality & risk, and central compliance teams while driving a robust, risk-based compliance framework.
What you'll be doing:
- Leading and developing high-performing Compliance, Supervision and Risk teams
- Driving effective FCA-compliant supervision across a national adviser network
- Acting as a senior escalation point for regulatory and business-critical matters
- Identifying emerging risks and implementing appropriate controls
- Overseeing T&C schemes, file reviews, KPI monitoring and financial promotions approval
- Influencing senior stakeholders and contributing to strategic regulatory initiatives
- Owning key compliance policies and supporting FCA notifications and reporting
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What we're looking for:
- Level 4 Diploma in Financial Planning (minimum)
- Significant compliance leadership experience within wealth management, financial planning, investment or insurance environments
- Strong working knowledge of FCA regulations and supervisory requirements
- Experience supporting or overseeing Financial Adviser networks / Appointed Representatives
- Exceptional stakeholder management, coaching and people leadership skills
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Desirable:
- Advanced Diploma (Level 6) and progression towards Chartered status
- Specialist qualifications across pensions, mortgages, equity release or investments
- Additional risk management or compliance qualifications
Why apply?
This is an opportunity to join a highly respected organisation where compliance is viewed as a strategic business partner rather than a support function. You'll have genuine influence, senior stakeholder exposure, and the chance to shape regulatory oversight across a growing adviser network.
💼 Senior Leadership Position
📩 Confidential enquiries and applications welcome
Interested? Contact us for a confidential discussion.
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