Head of Compliance

Recruit UK is working with a growing financial planning firm seeking an experienced Head of Compliance to join their senior leadership team.

This is a unique opportunity for an experienced compliance professional to take ownership of the firm's compliance, risk and financial crime functions while playing a key role in shaping the future direction of the business.

The role offers a blend of strategic leadership and hands–on involvement, making it ideal for someone who enjoys working closely with advisers, senior management and the Board while remaining connected to the day–to–day operation of the compliance function.

What's on offer:

• Salary of GBP80,000 – GBP85,000+ (negotiable depending on experience)
• Bonus
• 5% employer pension contribution
• Death in Service cover
• Permanent Health Insurance
• Remote working (min once a month in the office, or if preferred regular access to Taunton or Leeds office)
• Opportunity to join the senior management team and influence business strategy
• Growing business with ambitious plans and genuine scope to make an impact

What you'll be doing:

• Acting as SMF16 (Compliance Oversight) and SMF17 (MLRO)
• Leading the firm's compliance, risk and financial crime functions
• Maintaining and enhancing the risk and compliance framework
• Overseeing compliance monitoring, file reviews and quality assurance activity
• Managing FCA reporting, regulatory engagement and regulatory change
• Providing guidance and support to advisers, management and the Board
• Delivering compliance and financial crime training across the business
• Producing Board and committee reporting on compliance, risk and Consumer Duty
• Supporting governance, SMCR and wider business initiatives
• Helping to shape a positive compliance culture across the firm

This is a hands–on leadership role. Whilst you'll sit on the senior management team and lead the compliance agenda, you'll also remain actively involved in monitoring, file reviews, adviser support, training and regulatory reporting.

What they're looking for:

• Previous experience within an IFA or wealth management firm
• Experience holding SMF16 and SMF17 responsibilities
• Strong understanding of FCA regulation
• Experience engaging with senior stakeholders and Boards
• A pragmatic, commercial approach to compliance
• Someone who is happy to combine strategic oversight with hands–on delivery

This is an excellent opportunity for an experienced compliance leader looking to join a growing business where they can have genuine influence, visibility and ownership.

Key words:

Head of Compliance, Compliance Director, Compliance Manager, SMF16, SMF17, MLRO, Compliance Oversight, Financial Crime, Risk Manager, Wealth Management, Financial Planning, IFA, Independent Financial Adviser