Chief Compliance Architect – UK Wealth

ETRA Talent; Greater London; On-site; GBP 110,000 - 170,000; Full time

Job summary

ETRA Talent is partnering with a financial services business to appoint a Head of Compliance to lead its UK compliance function. This is a senior opportunity for an established compliance professional with experience across wealth management, private wealth, investment services or a closely related environment.

The successful candidate will own the compliance framework, advise senior management on regulatory matters and play a key role in strengthening governance, controls and the wider

Qualifications

• Significant UK financial services compliance experience in wealth management or investment services.
• Strong knowledge of FCA regulatory framework and its practical application.
• Experience overseeing compliance policies, risk assessments, monitoring programmes and regulatory change.
• Sound understanding of financial crime controls, including AML, KYC and sanctions.
• Confidence advising senior stakeholders and balancing regulatory obligations with commercial objectives.
• A proactive, hands-on approach to ownership of a compliance function.

Responsibilities

• Lead and develop the UK compliance function with a risk-based framework.
• Advise senior management on FCA requirements, emerging risks and business initiatives.
• Oversee FCA Handbook requirements (COBS, SYSC, Consumer Duty) where applicable.
• Provide oversight of investment-related compliance, including suitability and disclosures.
• Oversee financial crime controls (AML, KYC, sanctions, source of funds/wealth).
• Develop and manage the monitoring programme, identifying, escalating and remediating issues.
• Prepare compliance reports and updates to senior management and governance committees.
• Monitor regulatory developments and implement policy and procedure changes.
• Deliver compliance training and promote high standards of conduct.

Skills

UK financial services compliance

FCA regulatory framework

Regulatory change management

AML / KYC / sanctions

Stakeholder leadership

Cross-border wealth management

Education

ICA or CISI qualifications

Job description

ETRA Talent is partnering with a financial services business to appoint a Head of Compliance to lead its UK compliance function. This is a senior opportunity for an established compliance professional with experience across wealth management, private wealth, investment services or a closely related environment.

The successful candidate will own the compliance framework, advise senior management on regulatory matters and play a key role in strengthening governance, controls and the wider