Head of Compliance

Job Description

Head of Compliance

A variety of soft skills and experience may be required for the following role Please ensure you check the overview below carefully.

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.

Role & Responsibilities:

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• 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

Act as the main contact for regulators and manage reporting obligations

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

Operate as the firms T&C lead.

Do you have the following to apply?

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• Proven experience in a senior compliance role within an IFA / wealth management / financial planning firm

Strong understanding of FCA regulations, including Consumer Duty, TCF, and SM&CR

Hold the Level 4 Diploma in Financial Planning as a minimum.

Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted. xwzovoh

Clayton Davies is acting as an employment agency on behalf of our client.