At a Glance
- Tasks: Lead compliance and risk while managing regulatory reporting and training.
- Company: Established financial planning and wealth management business 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 development.
- Why this job: Make a real impact in compliance and governance within a dynamic industry.
- Qualifications: Experience in IFA or wealth management with strong compliance 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.
Senior Compliance Monitoring 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 monthly travel. Our culture fosters professional growth through hands-on experience and comprehensive training, alongside competitive benefits including discretionary bonuses and employee options. This role not only allows you to lead critical compliance initiatives but also positions you within a supportive team dedicated to excellence in the financial sector.
Contact Details:
BWD Search & Selection Recruitment Team
