Clayton Davies
Head of Compliance & Adviser Standards
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Head of Compliance & Adviser Standards
📍 Birmingham
💰 Competitive Salary
We're working with an ambitious and growing wealth management business seeking an experienced compliance professional to lead its regulatory oversight and adviser supervision framework.
This is not a traditional compliance role.
The business is investing heavily in technology, automation and AI-driven processes, creating an opportunity for an individual who wants to modernise compliance functions, improve adviser outcomes and influence strategic decision-making at the highest level.
Reporting directly into senior leadership, you'll play a key role in ensuring the organisation maintains strong governance, delivers excellent customer outcomes and continues to evolve its regulatory framework alongside business growth.
Role & Responsibilities: 📋
- Leading the Compliance function and acting as the key subject matter expert on regulatory matters.
- Managing and developing the firm's adviser supervision and competency framework.
- Providing guidance and challenge to senior stakeholders on regulatory risk and governance matters.
- Designing and delivering compliance monitoring activities, thematic reviews and assurance programmes.
- Overseeing complaints, regulatory incidents and risk events, ensuring lessons learned translate into meaningful improvements.
- Supporting Consumer Duty governance, customer outcome monitoring and board reporting.
- Managing relationships with regulatory bodies, auditors and external compliance partners.
- Driving regulatory change projects and ensuring new requirements are successfully implemented.
- Leading financial crime oversight activities including AML controls, monitoring and risk assessments.
- Reviewing and strengthening policies, procedures and governance frameworks across the business.
- Producing insightful management information and reporting for senior leaders and the Board.
- Supporting strategic projects including acquisitions, integrations, operational improvements and business transformation initiatives.
- Championing the use of technology, automation and AI to improve monitoring, reporting and control effectiveness.
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Do you have the following to apply? ✅
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- Minimum Level 4 Diploma in Financial Planning (or equivalent)
- Senior compliance experience within a regulated financial planning, wealth management or advice environment.
- Used AI or automation tools within compliance, risk or operational environments (beneficial).
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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