Head of Compliance & T&C, AI-Driven RegTech Leader

BWD Search & Selection; Birmingham; Hybrid; GBP 90,000 - 110,000; Full time

Job summary

BWD Search & Selection is seeking a senior leader to head Compliance and T&C for a growing financial advice business in the UK. You will shape the control environment, implement smarter, AI-driven monitoring, and deliver hands-on regulatory delivery across the function.

The role offers hybrid working with travel to London and other offices, exposure to board-level stakeholders, and the autonomy to drive strategic change while maintaining excellent customer outcomes.

Qualifications

• Strong experience within compliance and T&C in a regulated financial advice environment.
• Knowledge of FCA regulation (SYSC, COBS, SM&CR, Consumer Duty and AML).
• Minimum Level 4 qualification or equivalent.
• Ability to influence advisers, senior leaders and Board-level stakeholders, with strategic and hands-on approach.
• Experience using data/MI to identify trends and support decision-making.
• Genuine curiosity about AI and automation, with evidence of exploration or application.

Responsibilities

• Lead the Compliance and T&C functions, supported by a Compliance Associate.
• Own and continually improve the firm’s T&C scheme, working closely with advisers to assess competence and support development.
• Build and deliver a risk-based Compliance Monitoring Plan.
• Oversee client file reviews, thematic reviews, control testing and remediation.
• Provide clear, commercially aware regulatory advice to senior management, advisers and the Board.
• Lead compliance reporting, regulatory change and engagement with external regulators and assurance providers.
• Oversee Consumer Duty, financial promotions, complaints, incidents, AML and financial crime controls.
• Support strategic projects, including acquisitions, integration, outsourcing and digital transformation.
• Champion the use of AI and automation to improve monitoring, file reviews, management information and control testing.
• Provide oversight of how AI is used across the wider business, ensuring appropriate governance and good customer outcomes.

Skills

Compliance

T&C

Regulatory change

Data & MI analysis

AI & automation

Stakeholder influence

Education

Level 4 qualification

Job description

BWD Search & Selection is seeking a senior leader to head Compliance and T&C for a growing financial advice business in the UK. You will shape the control environment, implement smarter, AI-driven monitoring, and deliver hands-on regulatory delivery across the function.

The role offers hybrid working with travel to London and other offices, exposure to board-level stakeholders, and the autonomy to drive strategic change while maintaining excellent customer outcomes.