Regulatory Affairs/ Senior Regulatory Affairs

Head of Compliance Birmingham Competitive Salary Our client is a leading wealth management firm who are looking for a Head of Compliance to lead regulatory oversight and manage training and competency standards across the growing firm. Lead and manage the firm’s compliance and regulatory framework, ensuring alignment with FCA requirements Oversee the compliance framework and ensure adherence to regulatory requirements Identify risks and implement effective controls and monitoring processes Provide practical compliance guidance to senior leadership Lead the training and competency programme, ensuring staff meet required standards Oversee file reviews, audits, and ongoing performance monitoring Ensure policies, procedures, and governance arrangements remain effective Proven experience in a senior compliance role within an IFA / wealth management / financial planning firm Hold the Level 4 Diploma in Financial Planning as a minimum.