At a Glance
- Tasks: Lead and scale compliance in a fast-growing wealth platform.
- Company: Innovative FCA-regulated digital wealth platform redefining wealth management.
- Benefits: Competitive salary, equity participation, and flexible working arrangements.
- Other info: Dynamic environment with real influence on compliance culture and growth.
- Why this job: Shape the future of wealth management with a high-calibre founding team.
- Qualifications: Strong investment compliance experience and ability to operate at senior level.
The predicted salary is between 90000 - 115000 £ per year.
About the Company
We're partnering with a fast‐growing, FCA‐regulated digital wealth platform that is redefining how modern professionals build and manage their wealth. The business has been built to address a clear gap in the market - giving mass‐affluent individuals (e.g. high‐earning professionals, founders, and entrepreneurs) access to sophisticated financial tools and investment opportunities traditionally reserved for private banking clients. Their platform combines:
- Actively managed investment portfolios
- Tax‐efficient savings solutions
- Lending products (portfolio‐backed credit)
- Access to alternative investments (e.g. private markets - current and upcoming)
- A financial advice proposition
Having already surpassed £100M+ AUM within a short period, the business is now entering a true scale‐up phase, with a clear trajectory toward £1B AUM. The team is still relatively small (~20 people), but highly capable, and the culture is:
- Ambitious and fast‐paced
- Highly collaborative
- Product‐led and customer‐focused
- Built around ownership and accountability
This is a business that is building something genuinely differentiated in wealthtech, not simply iterating on existing models.
The Role
This is a critical leadership hire - taking ownership of the compliance and financial crime function as the business scales and product complexity increases. The current framework is strong (no legacy issues), but the next phase requires someone who can evolve compliance into a scalable, product‐embedded function.
You will:
- Take ownership of (or step into) SMF16 & SMF17 responsibilities
- Lead and scale a lean compliance & financial crime function
- Embed compliance into product, engineering, and operations
- Support the rollout of new and increasingly complex investment products
- Oversee regulatory areas including:
- MiFID / COBS
- Product governance
- Consumer Duty
- Financial crime frameworks
- CASS / client money permissions
- Financial promotions
- Act as the primary point of contact with the FCA
- Guide the business through key regulatory milestones, including:
- Scaling AUM
- Client money permissions
- Launch of financial advice
- Build systems and processes that enable scale, rather than relying on manual oversight
- Shape the overall compliance culture of the company
Why This Role is Different
- You're not inheriting a broken function - you're scaling an already strong one
- The product stack is multi‐layered and evolving quickly
- Investment propositions are becoming increasingly sophisticated and differentiated
- You'll operate at the heart of product and strategy, not as a back‐office function
- You'll work directly with a high‐calibre founding team
- You'll have real influence over how compliance is built in a modern wealth business
What They're Looking For
- Strong experience in investment or wealth‐management compliance (MiFID, COBS, suitability/appropriateness, investment platforms, portfolio oversight, or similar)
- Experience operating in an FCA‐regulated environment
- Strong understanding of financial crime / AML frameworks
- Ability to operate at senior / Board level
- Experience building or significantly evolving compliance frameworks
- Comfortable across multi‐product environments
- Appetite to take on (or step into) SMF16/17 responsibilities
Highly Desirable
- Experience in wealthtech, fintech, or high‐growth environments
- Exposure to:
- CASS / client money
- Alternative investments
- Lending alongside investments
- Advice or advisory models
- Experience working closely with product & engineering teams
The Ideal Profile
This role will suit someone who:
- Combines strong investment‐regulatory knowledge with a practical, commercial mindset
- Enjoys building and scaling, not just maintaining
- Is comfortable operating in a lean, fast‐changing environment
- Can strike the right balance between control and enabling growth
- Wants to be part of a business shaping the future of wealth, not following it
Package & Location
£90,000-£115,000 base salary (flexible for the right candidate)
Equity participation
Cardiff or London based (3-4 days per week preferred)
If you're looking for a role where you can own, shape, and scale compliance within a genuinely innovative wealth platform, this is one of the most interesting opportunities currently on the market.
Head of Compliance in Newport employer: Identify Solutions
Join a dynamic and ambitious team at a fast-growing FCA-regulated digital wealth platform, where you will have the opportunity to shape and scale the compliance function in a collaborative and product-led environment. With a strong focus on employee growth and ownership, this role offers a unique chance to influence the future of wealth management while working alongside a high-calibre founding team in either Cardiff or London. Enjoy competitive compensation, equity participation, and the chance to be part of a company that is genuinely redefining the wealthtech landscape.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance in Newport
✨Tip Number 1
Network like a pro! Reach out to people in the industry, attend events, and connect on LinkedIn. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by researching the company and its culture. Understand their products and compliance needs so you can show how your experience aligns with their goals. We want to see you shine!
✨Tip Number 3
Practice your pitch! Be ready to explain how your skills can help scale their compliance function. Highlight your experience in FCA-regulated environments and how you can embed compliance into their product strategy.
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who take that extra step to engage with us directly.
We think you need these skills to ace Head of Compliance in Newport
Some tips for your application 🫡
Tailor Your CV:Make sure your CV speaks directly to the role of Head of Compliance. Highlight your experience in investment compliance and any relevant FCA regulations. We want to see how your background aligns with our fast-paced, ambitious culture.
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance in the wealthtech space. Share specific examples of how you've successfully scaled compliance functions in the past, as this is key for us.
Showcase Your Leadership Skills:As this is a leadership role, we need to see evidence of your ability to guide teams and influence at a senior level. Include examples of how you've shaped compliance cultures or built frameworks that support growth in previous roles.
Apply Through Our Website:We encourage you to apply directly through our website. This helps us keep track of applications and ensures you’re considered for this exciting opportunity to shape the future of wealth management with us!
How to prepare for a job interview at Identify Solutions
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of investment and wealth management compliance, especially MiFID and COBS. Be ready to discuss how you've navigated these regulations in past roles, as this will show you're not just familiar with the theory but can apply it practically.
✨Showcase Your Leadership Skills
This role is all about taking ownership and leading a team. Prepare examples of how you've successfully built or evolved compliance frameworks in previous positions. Highlight your experience operating at senior levels and how you've influenced compliance culture in fast-paced environments.
✨Understand the Business Model
Familiarise yourself with the company's unique approach to wealth management. Be prepared to discuss how compliance can be embedded into their product offerings and how you can support the rollout of new investment products while ensuring regulatory adherence.
✨Ask Insightful Questions
Interviews are a two-way street! Prepare thoughtful questions that demonstrate your understanding of the challenges they face as they scale. Inquire about their current compliance processes and how they envision evolving them, showing that you're already thinking about how to contribute to their growth.
