Head of Compliance | Wealth Management / Investment Services | UK
ETRA Talent is partnering with a financial services business to appoint a Head of Compliance to lead its UK compliance function.
This is a senior opportunity for an established compliance professional with experience across wealth management, private wealth, investment services or a closely related financial services environment.
The successful candidate will take ownership of the compliance framework, advise senior management on regulatory matters and play a key role in strengthening governance, controls and the wider compliance culture.
Key Responsibilities
- Lead and develop the UK compliance function, maintaining an effective, proportionate and risk-based compliance framework.
- Advise senior management on FCA regulatory requirements, emerging risks and business initiatives.
- Oversee compliance with relevant FCA Handbook requirements, including COBS, SYSC and Consumer Duty, where applicable.
- Provide oversight of investment-related compliance, including suitability, client disclosures, conflicts of interest and financial promotions.
- Oversee relevant financial crime controls, including AML, KYC, sanctions, source of funds and source of wealth.
- Develop and manage the compliance monitoring programme, ensuring issues are identified, escalated and remediated.
- Prepare compliance reports and provide updates to senior management and relevant governance committees.
- Monitor regulatory developments and lead the implementation of changes to policies, procedures and controls.
- Deliver compliance training and promote strong standards of conduct and ethical business practice.
What We’re Looking For
- Significant UK financial services compliance experience, ideally within wealth management, private wealth, investment advisory or investment services.
- Strong knowledge of the FCA regulatory framework and its practical application.
- Experience overseeing compliance policies, risk assessments, monitoring programmes and regulatory change.
- A sound understanding of financial crime controls, including AML, KYC and sanctions.
- Confidence advising and constructively challenging senior stakeholders.
- The ability to balance regulatory obligations with commercial objectives.
- A proactive, hands-on approach, with the judgement and leadership capability to take ownership of a compliance function.
Experience leading or developing a compliance function, exposure to cross-border wealth management, and previous experience holding or supporting SMF16 (Compliance Oversight) would be advantageous.
Relevant professional qualifications, such as ICA or CISI, are also desirable.
The Opportunity
This is an opportunity to step into a senior position with meaningful influence over the firm's regulatory framework, governance and future development. You will work closely with senior management, contribute to business decisions and help embed compliance into the organisation's day-to-day activities.
The client’s identity will remain confidential at this stage and will be shared at the appropriate point in the process.
All enquiries will be handled in the strictest confidence.
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Head of Compliance (16/17) employer: ETRA Talent
As a Senior Credit Risk Analyst at our specialist international bank, you will thrive in a dynamic and supportive work environment that values professional growth and development. We offer competitive benefits, a collaborative culture, and the opportunity to work with a diverse portfolio of large UK and international corporates across various sectors. Join us to enhance your skills in credit analysis while contributing to impactful financial decisions in a role that promises both challenge and reward.
