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: 📋

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• Lead and manage the firm’s compliance and regulatory framework, ensuring alignment with FCA requirements
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• Oversee the compliance framework and ensure adherence to regulatory requirements
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• Act as the main contact for regulators and manage reporting obligations
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• Identify risks and implement effective controls and monitoring processes
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• Provide practical compliance guidance to senior leadership
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• Lead the training and competency programme, ensuring staff meet required standards
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• Oversee file reviews, audits, and ongoing performance monitoring
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• Ensure policies, procedures, and governance arrangements remain effective
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• Operate as the firms T&C lead.
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Do you have the following to apply? '05;

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