Clayton Davies
Head of Compliance
Get notified of more jobs like this · No spam, ever
How your CV stacks up
Upload your CV to see how well it fits this job role
?%
⭐️ Head of Compliance
📍 Birmingham 💰 Competitive Salary
Our client is a growing IFA firm who are looking for a Head of Compliance. This is a senior leadership role offering the opportunity to shape regulatory strategy, oversee adviser competence, strengthen governance frameworks and support the ongoing evolution of a growing advice business.
You will take ownership of the firm's compliance framework, adviser supervision arrangements and regulatory oversight activities. Working across multiple business areas, you will provide expert guidance on regulatory matters, challenge existing processes where required and promote a strong culture of compliance throughout the organisation.
Role & Responsibilities: 📋
- Leading the compliance and risk oversight function.
- Managing and developing the firm's Training & Competence framework.
- Providing regulatory guidance to senior management and advisers.
- Designing and maintaining monitoring programmes to assess regulatory compliance and operational controls.
- Conducting thematic reviews and identifying areas for improvement.
- Producing insightful management information and regulatory reports for senior stakeholders.
- Supporting policy development and governance arrangements.
- Monitoring regulatory developments and coordinating implementation of new requirements.
- Overseeing complaints, incidents and remediation activity.
- Supporting financial crime controls, including AML and sanctions oversight.
- Reviewing financial promotions and marketing activities.
- Working closely with operational and technology teams to improve controls and efficiency.
- Contributing to strategic projects, business change initiatives and growth plans.
- Engaging with external stakeholders, including regulatory bodies and third-party providers when required.
Reasons to use Rodeo
Start with a chat, not a search bar
Grad scheme, placement, apprenticeship? Not sure what you want yet — that's fine. Your agent talks it through with you and turns "I have no idea" into a shortlist.
It searches the market for you
Every day your agent scans the market matching roles against what actually matters to you, not just keywords on a CV.
Only hits
No noise. No "maybe this fits." Just roles with a clear explanation of why they're right — and where to focus when applying.
Do you have the following to apply? ✅
Get help with your application
Your very own career expert that helps elevate your application to the next level.
- Strong Compliance experience within an IFA or Wealth Management firm
- Minimum Level 4 Diploma in Financial Planning or equivalent
- Experience implementing technology-driven compliance solutions would be beneficial.
- Exposure to AI governance, automated controls or digital transformation projects would be 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.
“It took my CV and asked me questions relevant to understanding what kind of jobs to suggest for me. Suggestions were almost perfect. Jobs were exactly what I’ve been looking for.”
Jessica, London
Skills