Tech-Driven Chief Compliance & Adviser Standards

Clayton Davies; England; On-site; GBP 110,000 - 150,000; Full time

Job summary

Clayton Davies is seeking a Head of Compliance & Adviser Standards to lead regulatory oversight and adviser supervision in a growing wealth management business. This role will shape governance, drive compliance strategy and champion technology-driven monitoring to improve customer outcomes.

Reporting to senior leadership, you will design assurance programmes, oversee AML and financial crime controls, and partner with regulators, auditors and internal stakeholders on strategic initiatives and

Qualifications

• Minimum Level 4 Diploma in Financial Planning (or equivalent).
• Senior compliance experience within a regulated financial planning, wealth management or advice environment.
• Used AI or automation tools within compliance, risk or operational environments (beneficial).

Responsibilities

• Leading the Compliance function and acting as the key subject matter expert on regulatory matters.
• Managing and developing the firm's adviser supervision and competency framework.
• Providing guidance and challenge to senior stakeholders on regulatory risk and governance matters.
• Designing and delivering compliance monitoring activities, thematic reviews and assurance programmes.
• Overseeing complaints, regulatory incidents and risk events, ensuring lessons learned translate into meaningful improvements.
• Supporting Consumer Duty governance, customer outcome monitoring and board reporting.
• Managing relationships with regulatory bodies, auditors and external compliance partners.
• Driving regulatory change projects and ensuring new requirements are successfully implemented.
• Leading financial crime oversight activities including AML controls, monitoring and risk assessments.
• Reviewing and strengthening policies, procedures and governance frameworks across the business.
• Producing insightful management information and reporting for senior leaders and the Board.
• Supporting strategic projects including acquisitions, integrations, operational improvements and business transformation initiatives.
• Championing the use of technology, automation and AI to improve monitoring, reporting and control effectiveness.

Job description

Clayton Davies is seeking a Head of Compliance & Adviser Standards to lead regulatory oversight and adviser supervision in a growing wealth management business. This role will shape governance, drive compliance strategy and champion technology-driven monitoring to improve customer outcomes.

Reporting to senior leadership, you will design assurance programmes, oversee AML and financial crime controls, and partner with regulators, auditors and internal stakeholders on strategic initiatives and