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Head Compliance
Job summary
A boutique wealth planning firm is seeking a Head of Compliance to oversee compliance with FCA regulations. This remote role offers flexibility and the opportunity to shape a new compliance function. Ideal candidates have a strong background in financial services compliance, excellent communication skills, and a detail-oriented approach.
Benefits
Qualifications
- Proven experience in a senior compliance role within financial services.
- Strong understanding of FCA regulations and the financial planning landscape.
- Ability to work independently and proactively.
Responsibilities
- Develop and maintain the firm's compliance framework, policies, and procedures.
- Monitor regulatory developments and ensure timely implementation of changes.
- Provide compliance training and support to staff.
Skills
Head of Compliance
Location: Remote (occasional travel to South York)
A boutique, family-run wealth planning firm is seeking a Head of Compliance to join their growing team. This is a newly created role, offering the chance to shape and lead the compliance function within a well-established business that manages over 60 million in assets across 140+ individual clients.
The firm specialises in pensions and investments and prides itself on delivering exceptional client outcomes through a culture of integrity, collaboration, and continuous improvement.
As Head of Compliance, you will be responsible for ensuring the business remains fully compliant with FCA regulations and internal policies. You'll work closely with senior leadership to embed a strong compliance culture and provide strategic guidance across all areas of regulatory risk.
This role offers significant flexibility, with the option to work remotely most of the time, making it ideal for experienced compliance professionals seeking a better work-life balance.
- Develop and maintain the firm's compliance framework, policies, and procedures
- Monitor regulatory developments and ensure timely implementation of changes
- Conduct internal audits and compliance reviews
- Provide compliance training and support to staff
- Act as the primary point of contact for FCA-related matters
- Oversee client file reviews and ensure suitability documentation meets regulatory standards
- Support the business in maintaining ethical and professional standards across all client interactions
- Proven experience in a senior compliance role within financial services (wealth management or IFA experience preferred)
- Strong understanding of FCA regulations and the financial planning landscape
- Excellent communication and leadership skills
- Ability to work independently and proactively
- High attention to detail and a commitment to ethical standards
- Competitive salary tailored to experience
- Flexible, remote-first working arrangement
- 25 days holiday plus bank holidays (increasing with service)
- Opportunity to shape a new function within a respected and growing business
- Supportive, values-driven team culture
* The salary benchmark is based on the target salaries of market leaders in their relevant sectors. It is intended to serve as a guide to help Premium Members assess open positions and to help in salary negotiations. The salary benchmark is not provided directly by the company, which could be significantly higher or lower.