Head of Compliance (16/17)

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

Head of Compliance | Wealth Management / Investment Services | UK

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 financial services environment.

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

Key Responsibilities

• Lead and develop the UK compliance function, maintaining an effective, proportionate and risk-based compliance framework.
• Advise senior management on FCA regulatory requirements, emerging risks and business initiatives.
• Oversee compliance with relevant FCA Handbook requirements, including COBS, SYSC and Consumer Duty, where applicable.
• Provide oversight of investment-related compliance, including suitability, client disclosures, conflicts of interest and financial promotions.
• Oversee relevant financial crime controls, including AML, KYC, sanctions, source of funds and source of wealth.
• Develop and manage the compliance monitoring programme, ensuring issues are identified, escalated and remediated.
• Prepare compliance reports and provide updates to senior management and relevant governance committees.
• Monitor regulatory developments and lead the implementation of changes to policies, procedures and controls.
• Deliver compliance training and promote strong standards of conduct and ethical business practice.

What We’re Looking For

• Significant UK financial services compliance experience, ideally within wealth management, private wealth, investment advisory or investment services.
• Strong knowledge of the FCA regulatory framework and its practical application.
• Experience overseeing compliance policies, risk assessments, monitoring programmes and regulatory change.
• A sound understanding of financial crime controls, including AML, KYC and sanctions.
• Confidence advising and constructively challenging senior stakeholders.
• The ability to balance regulatory obligations with commercial objectives.
• A proactive, hands-on approach, with the judgement and leadership capability to take ownership of a compliance function.

Experience leading or developing a compliance function, exposure to cross-border wealth management, and previous experience holding or supporting SMF16 (Compliance Oversight) would be advantageous.

Relevant professional qualifications, such as ICA or CISI, are also desirable.

The Opportunity

This is an opportunity to step into a senior position with meaningful influence over the firm's regulatory framework, governance and future development. You will work closely with senior management, contribute to business decisions and help embed compliance into the organisation's day-to-day activities.

The client’s identity will remain confidential at this stage and will be shared at the appropriate point in the process.

All enquiries will be handled in the strictest confidence.