Wealthlink Recruitment
Head of Compliance
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Head of Compliance
Head of Compliance – Wealth Management Firm
A well-established, market-leading Wealth Management firm is seeking an experienced Compliance professional to lead its compliance function into the role of Head of Compliance.
This is an exceptional opportunity for a Senior Compliance Manager or Deputy Head of Compliance looking to progress into a Head of Compliance position within a dynamic, adviser-focused organisation.
The Role
As Head of Compliance, you will take a pivotal role in shaping the firm’s compliance strategy while collaborating closely with senior leadership to support the business's continued growth.
Key Responsibilities
- Lead and develop the firm’s compliance framework
- Provide regulatory advice and guidance across the entire business
- Oversee Consumer Duty, SMCR, Training & Competence (T&C), and FCA regulatory requirements
- Represent compliance on the Investment Committee, offering regulatory guidance and challenge
- Deliver compliance and regulatory training to Financial Advisers and Paraplanners
- Lead compliance monitoring, regulatory reporting, and policy development
- Foster strong relationships with senior leadership, advisors, and the FCA
- Provide commercial, pragmatic compliance solutions to support business decision-making
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About You
The ideal candidate will have:
- Previous experience in a senior compliance role within Wealth Management, Financial Planning, or Financial Services
- Deep knowledge of FCA regulation, Consumer Duty, SMCR, and Training & Competence
- Experience working with senior stakeholders and influencing business decisions
- A Level 4 Diploma (or equivalent) in Financial Services or related qualification
- The ambition and capability to excel in a Head of Compliance Role
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What’s on Offer
- Competitive package up to £80,000
- Opportunity to progress into an influential Head of Compliance position
- Senior leadership role with real operational impact
- Hybrid flexible working arrangements
- A supportive, collaborative culture
- Excellent long-term career prospects within a growing Wealth Management firm
Ready to apply?
If you’re an experienced Compliance professional eager to step up into a Head of Compliance role, we’d love to hear from you.
Apply today with your CV, or get in touch for a confidential discussion!
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