Head of Compliance

Our client is a leading wealth management firm who are looking for an experienced Head of Compliance to lead regulatory oversight and manage training and competency standards across the growing firm. Role & Responsibilities: • Lead and manage the firm’s compliance and regulatory framework, ensuring alignment with FCA requirements • Oversee the compliance framework and ensure adherence to regulatory requirements • Act as the main contact for regulators and manage reporting obligations • Identify risks and implement effective controls and monitoring processes • Provide practical compliance guidance to senior leadership • Lead the training and competency programme, ensuring staff meet required standards • Oversee file reviews, audits, and ongoing performance monitoring • Ensure policies, procedures, and governance arrangements remain effective Do you have the following to apply? • Proven experience in a senior compliance role within an IFA / wealth management / financial planning firm • Strong understanding of FCA regulations, including Consumer Duty, TCF, and SM&CR • Hold the Level 4 Diploma in Financial Planning as a minimum. Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted. Clayton Davies is acting as an employment agency on behalf of our client.