Head of Compliance

Our client is a leading wealth management firm who are looking for a Head of Compliance to join a growing and dynamic Independent Financial Adviser firm.

The successful candidate will support the Compliance Director on day-to-day regulatory compliance, promote a compliance and risk-aware culture and embed the strategic risk framework. This will include, but not limited to delivering a high-quality compliance monitoring programme, providing compliance advice to the business and support general risk management education.

Role & Responsibilities:

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• Support the Compliance Director in managing the firm’s compliance and regulatory framework, ensuring alignment with FCA requirements
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• Oversee monitoring, audits, and compliance reviews across advisory and operational functions
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• Provide expert guidance on regulatory developments, including Consumer Duty and ongoing FCA policy changes
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• Develop, implement, and maintain policies, procedures, and controls
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• Produce and present Management Information (MI) and compliance reports to the Board
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• Support and challenge advisers to ensure client outcomes meet regulatory and ethical standards
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• Lead training and competence programmes to ensure staff remain fully compliant
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• Investigate and resolve compliance breaches, complaints, and incidents
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Do you have the following to apply?

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• Proven experience in a senior compliance role within an IFA or Wealth Management firm
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• Strong understanding of FCA regulations, including Consumer Duty, TCF, and SM&CR
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• Hold the Level 4 Diploma in Financial Planning as a minimum
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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.