At a Glance
- Tasks: Lead compliance and risk management while ensuring regulatory adherence.
- Company: Established financial planning and wealth management firm with a remote-first approach.
- Benefits: Discretionary bonus, employee options, and comprehensive benefits package.
- Other info: Hands-on role with opportunities for professional growth and monthly travel.
- Why this job: Make a real impact in compliance and governance within a dynamic industry.
- Qualifications: Experience in IFA or wealth management with strong FCA knowledge.
The predicted salary is between 70000 - 90000 £ per year.
An established financial planning and wealth management business is looking to appoint a Head of Compliance to take on SMF16 and SMF17 responsibility. You will lead compliance, risk and financial crime while remaining hands-on across file checks, monitoring, training, FCA returns, policies and regulatory reporting.
- Lead compliance, risk and financial crime.
- Own the compliance monitoring plan.
- Manage FCA correspondence, returns and regulatory change.
- Oversee risk registers, controls, incidents and governance.
- Support financial promotions, complaints, SMCR and certification.
- Provide compliance input into future M&A activity.
- Remain hands-on with file checks, training and monitoring.
A broad remit across compliance, risk, financial crime and governance.
Experience in an IFA, wealth management or financial planning business.
Strong FCA, SMCR, compliance monitoring and financial crime knowledge.
MLRO experience or strong financial crime oversight.
A hands-on approach across file checks, monitoring, training and returns.
Strong commercial judgement and a practical approach to compliance.
Legal Compliance Office in England employer: BWD Search & Selection
Join a forward-thinking financial planning and wealth management firm that prioritises compliance and risk management while offering a flexible remote working environment. With a strong emphasis on employee development, you will have the opportunity to lead critical compliance initiatives and engage in meaningful work that directly impacts the business. Enjoy competitive benefits, including discretionary bonuses and employee options, all within a supportive culture that values your expertise and contributions.
Contact Details:
BWD Search & Selection Recruitment Team
