Hybrid Head of Compliance

Posted last week

Apply now

About the role

  • Lead and develop the Compliance team, ensuring strong capacity planning, robust performance management, and continuous improvement.
  • Maintain and enhance the Compliance Monitoring Programme, ensuring effective risk identification, audit trails, and follow-up.
  • Act as the first point of contact for the FCA, managing regulatory returns, thematic reviews, and ad hoc requests.
  • Provide expert advice on FCA regulations (PRIN, COBS, SYSC, SM&CR), AML and financial crime, and relevant legislative changes.
  • Develop and maintain compliance policies, manuals, and procedures, ensuring they are regularly reviewed and embedded.
  • Deliver training and awareness programmes across the business to promote regulatory understanding and a culture of compliance.
  • Monitor adviser activity including onboarding, file checks and complaints handling, ensuring suitability of advice and consumer duty oversight.
  • Work with internal stakeholders and external compliance partners to ensure alignment, value for money and best practice.
  • Provide regular reporting and insight to the CRO, Executive Team and Board, highlighting emerging risks and strategic implications.
  • Support firmwide change initiatives, acquisitions and projects with appropriate compliance input.
  • Review and approve marketing material and client communications.

Requirements

  • Previous experience in a compliance leadership role within a Financial Planning firm
  • Detailed and current knowledge of FCA regulation and financial crime legislation
  • Experience with compliance monitoring, risk frameworks and regulatory reporting
  • Strong stakeholder management and communication skills
  • Proven ability to lead and develop high-performing teams
  • Analytical thinker with excellent attention to detail
  • Highly organised, self-motivated and able to work under pressure
  • Advanced Diploma in Financial Planning (Level 6)

Benefits

  • Non-contributory Pension Scheme (8%)
  • Private Medical Insurance
  • Income Protection
  • Critical Illness
  • Death in Service
  • CashPlan
  • Generous holiday allowance, rising with length of service
  • Work from home and flexible working available
  • Parking allowance for employees who live over 1.5 miles away from the office
  • Excellent culture, promoting employee wellbeing and engagement

Job title

Head of Compliance

Job type

Experience level

Lead

Salary

£NaN per year

Degree requirement

Professional Certificate

Location requirements

Report this job

See something inaccurate? Let us know and we'll update the listing.

Report job