Head of Compliance – Framework & Insights
A UK wealth and investment platform is seeking a Head of Compliance – Framework & Insights to take ownership of its compliance framework and lead second-line regulatory change, horizon scanning and regulator insight across the group.
This is a senior 2LoD leadership role reporting to the Director of Compliance, with a clear expectation to deputise for the Director across key committees and to build and maintain an active relationship with the FCA. You'll shape how the business interprets and responds to a fast-moving regulatory agenda, and translate that into proportionate, commercially minded advice for leadership and the Board.
What you'll do
- Own the compliance framework and policies across the group — keeping them current, proportionate, measurable and fit for purpose, and joined up with the wider risk, financial crime and operational risk frameworks.
- Lead regulatory change and horizon scanning in the second line, interpreting proposed change, triaging oversight across the F&I and Advice teams, and helping the group develop appropriate strategic responses.
- Deliver regulator sentiment analysis and insight to ERC, ELT and Board, giving leadership a clear read on the regulator's priorities and the firm's current standing.
- Act as a primary point of contact for the FCA, supporting the Director of Compliance on regulatory liaison, engagement records, and high-quality packs and pre-briefings for periodic meetings.
- Lead the annual Compliance Effectiveness Report and Compliance Risk Assessment, working cross-functionally to deliver for the Director of Compliance.
- Coordinate consultation responses on behalf of the group and support the Public Affairs team's strategic policy engagement.
- Contribute to governance and reporting through the Regulatory Governance Forum, ERC and BRC, assessing regulatory risk exposure against appetite.
- Lead and develop a team of five, setting objectives, managing performance and building a high-performing, collaborative F&I function.
What we're looking for
- Significant second-line compliance leadership experience within UK financial services, ideally wealth, investment or platform businesses.
- Strong working knowledge of the FCA and a track record of building credible regulator relationships.
- Depth across regulatory change, framework and policy ownership, and compliance effectiveness reporting.
- The commercial and client focus to advise leadership on pragmatic, proportionate solutions.
- Proven ability to deliver through others and lead a talented team.
Interim Head of Compliance Frameworks employer: Broadgate Search
Join a dynamic and innovative financial services firm that prioritises compliance and integrity in a technology-driven environment. With a strong commitment to employee development, we offer extensive growth opportunities and a collaborative work culture that values your contributions. Enjoy the flexibility of remote work while being part of a vibrant London-based team, where your expertise will directly impact our success in the insurance and fintech sectors.
