Head of Compliance – Wealth Management

About the role

We are seeking an experienced Head of Compliance to lead the regulatory function for a fast‑growing wealth management firm. Reporting to senior leadership, you will ensure the business meets all FCA requirements and maintains the highest standards of governance.

Key responsibilities

• Develop, implement and maintain the firm’s compliance framework in line with FCA rules, including Consumer Duty, Treating Customers Fairly and SM&CR.
• Serve as the primary point of contact for regulators, handling all reporting obligations and enquiries.
• Identify compliance risks, design effective controls and monitor their performance across the organisation.
• Provide practical compliance advice to senior management and the board.
• Lead the training and competency programme, ensuring staff achieve and retain required qualifications.
• Oversee regular file reviews, internal audits and ongoing performance monitoring.
• Maintain and update policies, procedures and governance arrangements to reflect regulatory change.

Required profile

• Proven senior‑level compliance experience within an IFA, wealth management or financial planning firm.
• Deep knowledge of FCA regulations, particularly Consumer Duty, TCF and SM&CR.
• Minimum Level 4 Diploma in Financial Planning.
• Strong analytical and risk‑management capabilities.

Required skills

• FCA regulatory expertise
• Risk assessment and control design
• Compliance training and competency management

What we offer

• Competitive salary package
• Opportunity to shape compliance strategy in a growing business
• Professional development and industry‑leading training