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- Tasks: Lead compliance function and shape governance framework for a growing wealth management firm.
- Company: Dynamic wealth management firm with ambitious growth plans and strong financial backing.
- Benefits: Six-figure salary, flexible location, and the chance to influence company culture.
- Why this job: Join a pivotal role in a rapidly expanding firm and make a real impact.
- Qualifications: Senior compliance experience in wealth management and strong knowledge of FCA regulations.
- Other info: Opportunity for autonomy and influence in a well-funded, ambitious environment.
The predicted salary is between 72000 - 84000 £ per year.
An exciting opportunity has arisen for a Head of Compliance to join a rapidly growing, forward-thinking wealth management firm with national ambitions and strong financial backing. The business has clear plans to expand significantly over the next few years, including a combination of organic growth and acquisition. With a network of advisers across multiple UK regions and further office openings planned, this role will be central to shaping the firm’s compliance and governance framework as it scales.
As Head of Compliance (SMF16/17), you will lead the firm’s compliance function, ensuring robust oversight, effective Appointed Representative management, and a strong compliance culture that supports commercial growth. You’ll provide strategic advice to senior leadership, maintain open and constructive relationships with the FCA, and ensure the firm continues to operate to the highest regulatory standards.
Key Responsibilities:- Oversee the design and continuous improvement of the compliance and governance framework.
- Lead on regulatory engagement and reporting.
- Support AR onboarding, monitoring, and oversight as the business scales.
- Provide proactive compliance guidance to the Board and senior management.
- Champion a culture of accountability, transparency, and ethical conduct.
- Significant experience in a senior compliance position within wealth management, financial advice, or an IFA network.
- Prior approval (or readiness) for SMF16/17.
- Strong knowledge of FCA regulations, particularly relating to Appointed Representatives and network supervision.
- Commercially minded, pragmatic, and able to balance regulatory rigour with business enablement.
- Excellent communication and leadership skills.
This is a unique opportunity to join an ambitious, well-funded firm at a pivotal stage of its growth journey, with the autonomy and influence to build something exceptional.
Head of Compliance employer: MERJE
Contact Detail:
MERJE Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance
✨Tip Number 1
Network like a pro! Reach out to industry contacts and attend events related to compliance and wealth management. 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 brushing up on your knowledge of FCA regulations and compliance frameworks. Be ready to discuss how you've successfully managed compliance in previous roles, especially in a growing environment.
✨Tip Number 3
Showcase your leadership skills! During interviews, highlight examples where you've championed a culture of accountability and transparency. This will resonate well with firms looking for someone to shape their compliance function.
✨Tip Number 4
Don’t forget to apply through our website! We’ve got some fantastic opportunities waiting for you, and applying directly can sometimes give you an edge over other candidates.
We think you need these skills to ace Head of Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV speaks directly to the Head of Compliance role. Highlight your experience in compliance within wealth management and any relevant regulatory knowledge. We want to see how your background aligns with our needs!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for this role. Share specific examples of how you've led compliance functions and engaged with regulatory bodies. Let us see your passion for compliance!
Showcase Your Leadership Skills: As a Head of Compliance, leadership is key. In your application, emphasise your ability to foster a strong compliance culture and your experience in guiding senior management. We want to know how you can champion accountability and transparency!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you don’t miss out on any important updates. Plus, it shows you’re keen to join our team!
How to prepare for a job interview at MERJE
✨Know Your Regulations
Make sure you brush up on FCA regulations, especially those related to Appointed Representatives. Being able to discuss these confidently will show that you’re not just familiar with compliance but are also ready to lead the charge in ensuring the firm meets its regulatory obligations.
✨Showcase Your Leadership Skills
Prepare examples of how you've successfully led compliance teams or initiatives in the past. Highlight your ability to foster a culture of accountability and transparency, as this is crucial for the role. We want to see how you can inspire others to uphold high standards.
✨Understand the Business Goals
Research the firm’s growth plans and think about how compliance can support these objectives. Be ready to discuss how you can balance regulatory requirements with commercial growth, demonstrating your commercially minded approach.
✨Engage with the Interviewers
Don’t just answer questions; engage in a dialogue. Ask insightful questions about their current compliance challenges and how they envision the role evolving. This shows your genuine interest in the position and helps you assess if the firm aligns with your values.
