Compliance Director - Financial Planning (United Kingdom)

Compliance Director – Executive Leadership Role Location: Remote (Anywhere in the UK) We are partnering with one of the UK’s leading Financial Planning businesses, providing impartial, tailored advice to High Net Worth Individuals, Business Owner-Managers, and Trustees. 4 billion in client assets. As part of their continued growth, they are seeking a Compliance Director to join their Executive Leadership Team. This is a senior, influential role, working closely with the CEO and Board to drive a culture of compliance, ethics, and regulatory excellence while supporting the firm’s ambitious growth plans. Oversight of all compliance functions across the financial planning and corporate finance practices. Act as SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) — holding both is an essential requirement. Lead a talented compliance team and help shape the business’s regulatory strategy. Represent the firm with the FCA and external regulatory bodies, ensuring complete adherence to FCA regulations and internal policies. Provide hands-on compliance support for the corporate finance practice (a smaller part of the overall remit). Financial Planning industry experience is essential , supported by a Level 4 Diploma as a minimum (Chartered status highly desirable). Strong working knowledge of FCA regulations and compliance frameworks within the retail financial advice and wealth management sector. Play a pivotal role at the executive level in a thriving, growing firm Shape and lead a compliance function in a high-profile, client-centric business. Benefit from a flexible, UK-wide role offering outstanding professional development opportunities. Only candidates who have held SMF16 and SMF17 and have financial planning experience with a Level 4 Diploma or higher will be considered.