Head of Compliance - Financial Advice - #2088852

Head of Compliance

Location: Birmingham

A growing wealth management business is seeking a Head of Compliance to lead and develop its compliance function during an exciting period of expansion.

This is an excellent opportunity for an experienced Compliance Manager or Senior Compliance professional looking to take their first step into a Head of Compliance position. While the role does not initially carry SMF responsibility, there is a clear pathway to assume SMF responsibilities in the future.

The Business

Established for over 15 years, the firm has grown through a combination of organic growth and strategic acquisitions. The business has a well-established compliance framework in place and is looking for a leader who can build on these foundations while supporting continued growth.

The Role

Key responsibilities include:

• Leading the compliance function and compliance framework.
• Providing regulatory guidance across the business.
• Overseeing compliance monitoring and risk management activities.
• Supporting senior management on regulatory and governance matters.
• Managing regulatory change and ensuring ongoing FCA compliance.
• Supporting business growth and acquisition activity from a compliance perspective.
• Producing compliance reporting and MI for senior stakeholders.

About You

You will have:

• Compliance experience within wealth management, financial planning or an IFA environment.
• A strong understanding of FCA regulation.
• Experience in compliance monitoring, advisory compliance or compliance management.
• The ability to engage confidently with senior stakeholders.
• The ambition to step into a Head of Compliance role and progress towards future SMF responsibility.

This is a rare opportunity to join a growing business and take ownership of an established compliance function while developing your career into a senior leadership position.