Compliance Manager

Ortus PSR Ltd.; Bracknell; On-site; GBP 60,000 - 90,000; Part time

Job summary

A leading independent financial advisory firm is seeking a Head of Compliance for a part-time leadership role. This position involves overseeing compliance functions, ensuring adherence to FCA regulations, and playing a strategic role in a collaborative environment. Join them for a flexible working model and opportunities for professional growth.

Benefits

Flexible working model

Supportive and friendly culture

Career development opportunities

Qualifications

• Extensive compliance experience within financial services.
• Strong knowledge of FCA regulations including COBS and financial crime prevention.
• Excellent leadership skills and ability to guide teams.

Responsibilities

• Oversee and maintain a regulatory compliance framework.
• Develop and deliver the firm's annual compliance monitoring plan.
• Lead compliance training for staff on regulatory requirements.

Skills

Leadership

Compliance knowledge

Analytical skills

Risk management

Job description

Shape the Future of Compliance in a Growing Wealth Management Firm

Are you an experienced Head of Compliance looking for a flexible, part-time leadership role? Do you thrive in a collaborative, fast-paced environment where your expertise can make a real impact? If so, this could be the perfect opportunity for you.

The Opportunity

Join a forward-thinking, independent financial advisory organisation that is growing rapidly and looking for a strategic compliance leader to take ownership of its second-line compliance function. As Head of Compliance, you will play a crucial role in ensuring the firm operates within FCA regulations and industry best practices, maintaining robust systems, controls, and procedures that support both business objectives and regulatory requirements.

This part-time, hybrid role (22.5 hours per week) is based in Bracknell, offering flexibility and an excellent work-life balance within a company that values collaboration and professional growth.

Why Join Us?

Supportive & Friendly Culture – Work in a fun, approachable environment where everyone, regardless of seniority, plays a key role in the company’s success.
Impact & Influence – Lead the compliance function and shape policies, procedures, and risk management strategies that directly affect the firm’s future.
Flexible Working – Enjoy a hybrid working model with part-time hours, offering the perfect balance of remote and office-based collaboration.
Career Development – Be part of a growing business where your input is valued, and your expertise recognised.

Key Responsibilities

Oversee and maintain an effective regulatory compliance framework, ensuring adherence to FCA requirements.
Work closely with senior management to provide compliance oversight, risk management, and governance support.
Ensure that all financial promotions, advice practices, and recruitment processes align with regulatory guidelines.
Develop and deliver the firm’s annual compliance monitoring plan, ensuring risks are identified, managed, and mitigated.
Lead compliance training, ensuring all staff understand regulatory requirements, including TCF, financial crime prevention, and whistleblowing policies.
Maintain strong relationships with regulatory bodies and ensure all reporting and notifications are up to date.

What We’re Looking For

Extensive compliance experience within financial services, ideally in wealth management or IFA firms.
Strong knowledge of FCA regulations, including COBS, SYSC, and financial crime prevention.
Excellent leadership skills with the ability to influence, train, and guide teams on compliance matters.
A strategic thinker with strong analytical skills and attention to detail.
Ability to manage risk effectively and implement best practices in a growing organisation.

Ready to Take the Next Step?

If you're a compliance professional seeking a part-time leadership role in a growing and supportive firm, we want to hear from you! Apply today and take your career to the next level.