Head of Compliance & Lead T&C Supervisor | Birmingham | Hybrid

We’re looking for an experienced Compliance professional to take a senior role across Compliance and T&C within a growing, regulated financial services business.

This is a role for someone who is as interested in how compliance can work better as they are in traditional compliance oversight. You’ll have genuine scope to shape the function, strengthen the control environment and help drive the use of AI, automation and data-led monitoring.

What you’ll be doing

• Lead the Compliance and T&C functions, providing pragmatic, commercially aware advice and effective challenge.
• Own and develop the Compliance Monitoring Framework and Plan, thematic reviews, control testing and assurance activity.
• Lead the T&C framework, using MI and data to identify development needs and maintain adviser competency.
• Oversee client file reviews, with a focus on using AI-assisted review and automation to increase coverage and consistency.
• Provide second-line oversight of AI used across the business, including advice, suitability, client communications and operational processes.
• Contribute to the organisation’s AI governance framework, including risk classification, human oversight, testing, explainability and customer impact.
• Oversee key areas including Consumer Duty, financial crime, complaints, incidents, regulatory change, financial promotions, SM&CR, CASS, operational resilience, outsourcing and data protection.
• Provide clear, concise MI and reporting to senior management and Board-level governance forums.
• Engage with regulators, auditors, advisers and other external stakeholders as required.
• Lead and develop a small Compliance team, with the shape of the function expected to evolve as automation and technology are embedded.