At a Glance
- Tasks: Lead and modernise the Compliance and T&C function in a growing financial advice business.
- Company: Dynamic financial advice firm focused on innovation and compliance excellence.
- Benefits: Salary up to £100,000, hybrid working, and direct exposure to senior leadership.
- Other info: Opportunity for career growth and to influence strategic projects.
- Why this job: Shape the future of compliance with AI and automation while making a real impact.
- Qualifications: Strong compliance experience and knowledge of FCA regulations required.
The predicted salary is between 100000 - 100000 £ per year.
This is an opportunity to lead and modernise the Compliance and T&C function within a growing financial advice business.
You will have the freedom to shape the control environment, improve how compliance supports the wider business and introduce smarter ways of working through AI, automation and technology.
It is a senior, visible position combining strategic influence with hands‑on delivery across compliance, T&C and regulatory change.
You will do
- Lead the Compliance and T&C functions, supported by a Compliance Associate.
- Own and continually improve the firm’s T&C scheme, working closely with advisers to assess competence and support development.
- Build and deliver a risk‑based Compliance Monitoring Plan.
- Oversee client file reviews, thematic reviews, control testing and remediation.
- Provide clear, commercially aware regulatory advice to senior management, advisers and the Board.
- Lead compliance reporting, regulatory change and engagement with external regulators and assurance providers.
- Oversee Consumer Duty, financial promotions, complaints, incidents, AML and financial crime controls.
- Support strategic projects, including acquisitions, integration, outsourcing and digital transformation.
- Champion the use of AI and automation to improve monitoring, file reviews, management information and control testing.
- Provide oversight of how AI is used across the wider business, ensuring appropriate governance and good customer outcomes.
You will bring
- Strong experience within compliance and T&C in a regulated financial advice environment.
- Detailed knowledge of FCA regulation, including SYSC, COBS, SM&CR, Consumer Duty and AML.
- A minimum Level 4 qualification or equivalent.
- The credibility to influence, support and challenge advisers, senior leaders and Board-level stakeholders.
- A practical, hands‑on approach alongside the ability to think strategically.
- Confidence using data and MI to identify trends, prioritise risks and support decision‑making.
- Genuine curiosity about AI and automation, with evidence that you have already explored or applied these tools.
- Experience translating regulatory requirements into workable processes, systems and controls.
You will get
- The opportunity to lead and shape an evolving compliance function.
- Direct exposure to senior leadership and the Board.
- A broad remit spanning compliance, T&C, regulatory change and technology.
- The autonomy to introduce new ideas and improve established ways of working.
- Hybrid and flexible working, with regular travel to London and other offices.
- The chance to play an important role in the continued growth and development of the business.
- #J-18808-Ljbffr
Head of Compliance in Birmingham employer: BWD Search & Selection
BWD is an exceptional employer for Pensions Governance Consultants, offering a hybrid working model that promotes work-life balance while allowing you to thrive in a rapidly growing sector. With competitive salaries and a strong focus on employee development, you will have ample opportunities to enhance your skills and advance your career within a supportive and dynamic work culture. Join us to be part of a team that values innovation and professional growth in the pensions governance landscape across the UK.
Contact Details:
BWD Search & Selection Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance in Birmingham
✨Tap into Campus Networks
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Join finance-focused groups on platforms like LinkedIn and engage in discussions. This can really help you stand out from the crowd, allowing potential employers to see your knowledge and interest in industry trends. Plus, you might stumble upon job postings shared exclusively within the group.
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Don’t shy away from reaching out directly to firms like BWD Search & Selection. Use their websites and apply through them, but also consider following up with a polite email to express your enthusiasm. Being proactive can make a huge difference in getting noticed in the competitive financial services sector.
We think you need these skills to ace Head of Compliance in Birmingham
Some tips for your application 🫡
Show Off Your Numbers!:In the banking and financial services world, quantifiable achievements are key. Make sure your CV highlights your grades in relevant subjects, any financial certifications you hold, and specific projects where you've delivered measurable results. Employers love to see how your skills translate into real-world success.
Tailor Your Cover Letter to the Role:When applying for a full-time position, your cover letter should make a direct connection between your experience and the job description. Don't just state your enthusiasm for finance—dive into how your background in banking or financial analysis sets you apart. Let your passion shine through while being specific about what you can bring to BWD Search & Selection.
Include Relevant Financial Software Experience:If you've worked with financial modelling tools or software like Excel, SAP, or specific analytical tools during your studies or internships, bring that up! Highlighting your proficiency can really make your application pop and show you're ready to hit the ground running in a full-time role.
Research and Reflect:Before hitting that 'apply' button on BWD Search & Selection's website, do a little digging. Look up their recent projects, values, and culture. Reflecting their ethos in your application can make a huge difference and show you’re genuinely interested in being part of the team!
How to prepare for a job interview at BWD Search & Selection
✨Brush Up on Financial Analysis Skills
Make sure you're well-versed in financial concepts and analytical techniques relevant to banking and financial services. Get comfortable with tools like Excel for modelling or financial forecasting, as technical questions in this area are common during interviews with BWD Search & Selection.
✨Prepare for Case Studies
Expect to tackle case studies that demonstrate your problem-solving skills in real-world banking scenarios. Familiarise yourself with the types of problems you might face—think risk assessments or investment evaluations—and be ready to articulate your thought process clearly.
✨Show Your Passion for Finance
Since this is a full-time position, employers at BWD Search & Selection will be keen to see your genuine interest in finance. Be prepared to discuss recent industry trends or news articles that excite you, showcasing your enthusiasm and engagement with the field.
✨Network with Industry Professionals
Before your interview, reach out to current or former BWD Search & Selection employees on platforms like LinkedIn. They'll offer unique insights into the company's culture and the interview process, which can give us a delightful edge in showcasing a good fit for the team.
