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Head of Compliance
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Head of Compliance – Financial Advice / Wealth Management
London | Hybrid | £5bn–£10bn AUM | Competitive Salary + Bonus
We are partnering with an established and growing UK wealth management business with £5bn–£10bn in Assets Under Management to appoint a Head of Compliance.
The business provides financial advice and wealth management services to a broad private client base and is looking for an experienced Compliance leader to take ownership of its regulatory framework as the firm continues to grow and invest in technology.
This is a senior role working closely with the Executive Team, Board and wider adviser population, providing practical and commercially minded regulatory guidance across the business.
Key responsibilities will include:
- Leading and developing the Compliance function
- Providing regulatory oversight across the firm’s financial advice activities
- Ensuring appropriate standards around suitability, client outcomes and file quality
- Owning the compliance monitoring framework and regulatory policies
- Overseeing Consumer Duty and conduct risk
- Providing guidance on FCA rules, SM&CR and regulatory developments
- Working closely with advisers, senior management and the wider business to embed strong compliance standards
- Managing FCA engagement, regulatory reporting and remediation activity
- Supporting strategic change, acquisitions and continued business growth
- Leading on AI compliance governance, including the development of appropriate controls, policies and oversight around the use of AI across the business
- Working with Technology, Operations and senior stakeholders on the responsible implementation of AI tools within the financial advice process, ensuring regulatory, conduct, data and customer-outcome considerations are properly addressed
- Promoting a strong and commercially balanced compliance culture
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We are looking to speak with senior Compliance professionals with a strong background in Financial Advice and Wealth Management.
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You will likely already be operating at Head of Compliance, Compliance Director or senior Compliance Manager level, with a strong understanding of the regulatory requirements affecting financial advisers and wealth management firms.
Experience overseeing adviser conduct, suitability, Consumer Duty and compliance monitoring within a sizeable regulated advice business will be particularly relevant.
Exposure to AI governance, digital transformation or the implementation of emerging technology within a regulated financial services environment would also be highly advantageous.
The role offers a hybrid working model and the opportunity to join a substantial and ambitious wealth manager where Compliance will play a central role in both the continued growth and technological development of the business.
For a confidential discussion, please get in touch with FS Talent.
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