Head of Compliance

Wealthlink Recruitment; Birmingham; Hybrid; GBP 54,000 - 90,000; Full time

Benefits offered by this job

Hybrid flexible working

Job summary

Wealthlink Recruitment is assisting a well-established Wealth Management firm in Birmingham to appoint an experienced Compliance professional as Head of Compliance. The role leads the compliance function, providing regulatory guidance and shaping strategy across the business.

The role requires senior credentials in FCA regulation, Consumer Duty and SMCR, with a track record of influencing executive decision-making. Hybrid working is offered within a demanding, growth-focused environment.

Qualifications

• Experience in senior compliance roles within Wealth Management or Financial Services.
• Strong knowledge of FCA regulation, Consumer Duty, SMCR.
• Ability to lead and influence senior stakeholders and drive strategy.

Responsibilities

• Lead and develop the firm's compliance framework and strategy.
• Provide regulatory advice and guidance across the business.
• Oversee FCA regulatory requirements, Consumer Duty, SMCR and Training & Competence.
• Sit on committees and provide regulatory guidance and challenge.
• Deliver compliance training to advisers and paraplanners.
• Lead monitoring, regulatory reporting and policy development.

Skills

FCA regulation

Consumer Duty

SMCR

Training & Competence

Stakeholder management

Regulatory strategy

Regulatory training

Advisory guidance

Automation in compliance

Job description

A well-established, market-leading Wealth Management firm is looking for an experienced Compliance professional to step into the role of Head of Compliance and lead its compliance function.

This is an outstanding opportunity for an experienced Compliance Manager, Senior Compliance Manager or Deputy Head of Compliance looking to progress into a Head of Compliance position within a growing, adviser-focused business.

The Role

As Head of Compliance, you will play a pivotal role in shaping the firm's compliance strategy while working closely with senior leadership to support the continued growth of the business.

Key responsibilities include:

• Leading and developing the firm's compliance framework.
• Providing regulatory advice and guidance across the business.
• Overseeing Consumer Duty, SMCR, Training & Competence (T&C) and FCA regulatory requirements.
• Sitting on the Investment Committee, providing regulatory guidance and challenge.
• Delivering compliance and regulatory training to Financial Advisers and Paraplanners.
• Leading compliance monitoring, regulatory reporting and policy development.
• Building strong relationships with senior leadership, advisers and the FCA.
• Supporting the business with pragmatic, commercial compliance solutions.
• Championing the use of AI agents, automation and compliance technology to improve the design, delivery and consistency of monitoring programmes, control testing, root cause analysis and management information.

About You

You'll ideally have:

• Previous experience in a senior compliance role within Wealth Management, Financial Planning or Financial Services.
• Strong knowledge of FCA regulation, Consumer Duty, SMCR and Training & Competence.
• Experience working with senior stakeholders and influencing business decisions.
• The ambition and capability to step into a Head of Compliance role.

What's on Offer

• Competitive Package up to £90,000
• Senior leadership role with genuine influence.
• Hybrid flexible working
• Supportive, collaborative culture.
• Excellent long-term career prospects with a growing Wealth Management business.