Wealthlink Recruitment
Head of Compliance
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A well-established, market-leading Wealth Management firm is looking for an experienced Compliance professional to step into the role of Head of Compliance and lead its compliance function.
This is an outstanding opportunity for an experienced Compliance Manager, Senior Compliance Manager or Deputy Head of Compliance looking to progress into a Head of Compliance position within a growing, adviser-focused business.
The Role
As Head of Compliance, you will play a pivotal role in shaping the firm's compliance strategy while working closely with senior leadership to support the continued growth of the business.
Key responsibilities include:
- Leading and developing the firm's compliance framework.
- Providing regulatory advice and guidance across the business.
- Overseeing Consumer Duty, SMCR, Training & Competence (T&C) and FCA regulatory requirements.
- Sitting on the Investment Committee, providing regulatory guidance and challenge.
- Delivering compliance and regulatory training to Financial Advisers and Paraplanners.
- Leading compliance monitoring, regulatory reporting and policy development.
- Building strong relationships with senior leadership, advisers and the FCA.
- Supporting the business with pragmatic, commercial compliance solutions.
- Championing the use of AI agents, automation and compliance technology to improve the design, delivery and consistency of monitoring programmes, control testing, root cause analysis and management information.
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About You
You'll ideally have:
- Previous experience in a senior compliance role within Wealth Management, Financial Planning or Financial Services.
- Strong knowledge of FCA regulation, Consumer Duty, SMCR and Training & Competence.
- Experience working with senior stakeholders and influencing business decisions.
- Level 4 Diploma qualified (or equivalent).
- The ambition and capability to step into a Head of Compliance role.
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What's on Offer
- Competitive Package up to £90,000
- Senior leadership role with genuine influence.
- Hybrid flexible working
- Supportive, collaborative culture.
- Excellent long-term career prospects with a growing Wealth Management business.
Apply
If you're an experienced Compliance professional looking to take the next step into a Head of Compliance role, we'd love to hear from you.
Apply today with your CV or contact us for a confidential discussion.
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