Head of Compliance

Our client is a leading wealth management firm who are looking for a Head of Compliance to join a growing and dynamic Independent Financial Adviser firm.

The successful candidate will support the Compliance Director on day-to-day regulatory compliance, promote a compliance and risk-aware culture and embed the strategic risk framework. This will include, but not limited to delivering a high-quality compliance monitoring programme, providing compliance advice to the business and support general risk management education.

Role & Responsibilities:

• Support the Compliance Director in managing the firm's compliance and regulatory framework, ensuring alignment with FCA requirements
• Oversee monitoring, audits, and compliance reviews across advisory and operational functions
• Provide expert guidance on regulatory developments, including Consumer Duty and ongoing FCA policy changes
• Develop, implement, and maintain policies, procedures, and controls
• Produce and present Management Information (MI) and compliance reports to the Board
• Support and challenge advisers to ensure client outcomes meet regulatory and ethical standards
• Lead training and competence programmes to ensure staff remain fully compliant
• Investigate and resolve compliance breaches, complaints, and incidents

Do you have the following to apply?

• Proven experience in a senior compliance role within an IFA or Wealth Management firm
• Strong understanding of FCA regulations, including Consumer Duty, TCF, and SM&CR
• Hold the Level 4 Diploma in Financial Planning as a minimum

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.