Head of Compliance

⭐️ 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.

Role & Responsibilities:

• 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? ✅

• 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.

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