Head of Compliance – Wealth Management

About the role

We are seeking an experienced compliance professional to lead the compliance function of a market‑leading wealth management firm. As Head of Compliance you will shape the regulatory strategy, work closely with senior leadership and ensure the business meets all FCA requirements.

Key responsibilities

• Develop and maintain the firm’s compliance framework.
• Provide regulatory advice and guidance across the business.
• Oversee Consumer Duty, SMCR, Training & Competence and other FCA requirements.
• Sit on the Investment Committee to offer regulatory challenge.
• Deliver compliance and regulatory training to advisers and paraplanners.
• Lead compliance monitoring, regulatory reporting and policy development.
• Build strong relationships with senior leadership, advisers and the FCA.
• Support the business with pragmatic, commercial compliance solutions.

Required profile

• Previous senior compliance experience in wealth management, financial planning or financial services.
• Strong knowledge of FCA regulation, Consumer Duty, SMCR and Training & Competence.
• Proven ability to work with senior stakeholders and influence decisions.
• Level 4 Diploma qualified (or equivalent) or similar qualification.
• Ambition and capability to step into a Head of Compliance role.

Required skills

What we offer

• Opportunity to progress into a senior leadership role with genuine influence.
• Hybrid working model.
• Supportive, collaborative culture.
• Long‑term career prospects within a growing wealth management business.