Head of Compliance & Lead T&C Supervisor

About the role

We are seeking a senior compliance professional to lead the compliance and Training & Competence function for a growing financial planning firm in Birmingham. Reporting directly to the executive team, you will own the firm’s regulatory framework, ensuring adherence to FCA rules, SMCR and the Consumer Duty while supporting adviser competence and client outcomes.

Key responsibilities

• Lead the firm’s compliance function, supporting SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting) responsibilities.
• Maintain and enhance the compliance monitoring framework and manage regulatory reporting, governance and risk processes.
• Oversee client file reviews, produce compliance MI, board reports and annual regulatory filings.
• Drive the Training & Competence scheme, working with SMF3 supervisors to assess adviser fitness, conduct Fit‑and‑Proper assessments and monitor CPD, SPS and ongoing competency.
• Deliver regulatory training across the business and ensure robust T&C records and monitoring.
• Manage relationships with external compliance providers and support regulatory due diligence for acquisitions and strategic projects.

Required profile

• Significant experience in compliance within wealth management or financial planning, with a strong understanding of SMCR, FCA regulations and Consumer Duty.
• Proven track record of leading compliance oversight and training & competence programmes at senior level.
• Ability to work closely with senior executives and supervise advisers to meet regulatory standards.
• Excellent analytical, communication and stakeholder management skills.

Required skills

What we offer

• Competitive salary £65,000‑£70,000 per annum.
• Hybrid working model – three days in the Birmingham office, two days remote.
• Professional development and training opportunities.
• Comprehensive benefits package.