Head of Compliance

This is an opportunity to lead and modernise the Compliance and T&C function within a growing financial advice business.

You will have the freedom to shape the control environment, improve how compliance supports the wider business and introduce smarter ways of working through AI, automation and technology. It is a senior, visible position combining strategic influence with hands‑on delivery across compliance, T&C and regulatory change.

You will do:

• Lead the Compliance and T&C functions, supported by a Compliance Associate.
• Own and continually improve the firm’s T&C scheme, working closely with advisers to assess competence and support development.
• Build and deliver a risk‑based Compliance Monitoring Plan.
• Oversee client file reviews, thematic reviews, control testing and remediation.
• Provide clear, commercially aware regulatory advice to senior management, advisers and the Board.
• Lead compliance reporting, regulatory change and engagement with external regulators and assurance providers.
• Oversee Consumer Duty, financial promotions, complaints, incidents, AML and financial crime controls.
• Support strategic projects, including acquisitions, integration, outsourcing and digital transformation.
• Champion the use of AI and automation to improve monitoring, file reviews, management information and control testing.
• Provide oversight of how AI is used across the wider business, ensuring appropriate governance and good customer outcomes.

You will bring:

• Strong experience within compliance and T&C in a regulated financial advice environment.
• Detailed knowledge of FCA regulation, including SYSC, COBS, SM&CR, Consumer Duty and AML.
• A minimum Level 4 qualification or equivalent.
• The credibility to influence, support and challenge advisers, senior leaders and Board-level stakeholders.
• A practical, hands‑on approach alongside the ability to think strategically.
• Confidence using data and MI to identify trends, prioritise risks and support decision‑making.
• Genuine curiosity about AI and automation, with evidence that you have already explored or applied these tools.
• Experience translating regulatory requirements into workable processes, systems and controls.

You will get:

• A salary of up to £100,000.
• The opportunity to lead and shape an evolving compliance function.
• Direct exposure to senior leadership and the Board.
• A broad remit spanning compliance, T&C, regulatory change and technology.
• The autonomy to introduce new ideas and improve established ways of working.
• Hybrid and flexible working, with regular travel to London and other offices.
• The chance to play an important role in the continued growth and development of the business.