Head of Compliance

⭐️ Head of Compliance

📍 Birmingham

💰 Competitive Salary

Our client is a growing IFA firm who are looking for a Head of Compliance . This is a senior leadership role offering the opportunity to shape regulatory strategy, oversee adviser competence, strengthen governance frameworks and support the ongoing evolution of a growing advice business.

You will take ownership of the firm's compliance framework, adviser supervision arrangements and regulatory oversight activities. Working across multiple business areas, you will provide expert guidance on regulatory matters, challenge existing processes where required and promote a strong culture of compliance throughout the organisation.

Role &​ Responsibilities: 📋

• Leading the compliance and risk oversight function.
• Managing and developing the firm's Training &​ Competence framework.
• Providing regulatory guidance to senior management and advisers.
• Designing and maintaining monitoring programmes to assess regulatory compliance and operational controls.
• Conducting thematic reviews and identifying areas for improvement.
• Producing insightful management information and regulatory reports for senior stakeholders.
• Supporting policy development and governance arrangements.
• Monitoring regulatory developments and coordinating implementation of new requirements.
• Overseeing complaints, incidents and remediation activity.
• Supporting financial crime controls, including AML and sanctions oversight.
• Reviewing financial promotions and marketing activities.
• Working closely with operational and technology teams to improve controls and efficiency.
• Contributing to strategic projects, business change initiatives and growth plans.
• Engaging with external stakeholders, including regulatory bodies and third-party providers when required.

Do you have the following to apply? ✅

• Strong Compliance experience within an IFA or Wealth Management firm
• Minimum Level 4 Diploma in Financial Planning or equivalent
• Experience implementing technology-driven compliance solutions would be beneficial.
• Exposure to AI governance, automated controls or digital transformation projects would be beneficial.

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.