At a Glance
- Tasks: Lead compliance and risk functions while shaping a positive culture in a growing business.
- Company: Dynamic wealth management firm with ambitious growth plans.
- Benefits: Competitive salary, bonus, pension contribution, and remote working options.
- Other info: Hands-on leadership role with excellent visibility and ownership opportunities.
- Why this job: Join the senior management team and make a real impact on business strategy.
- Qualifications: Experience in IFA or wealth management, holding SMF16 and SMF17 responsibilities.
The predicted salary is between 80000 - 85000 £ per year.
What's on offer:
- Salary of £80,000 - £85,000+ (negotiable depending on experience)
- Bonus 5%
- Employer pension contribution
- Death in Service cover
- Permanent Health Insurance
- Remote working (min once a month in the office, or if preferred regular access to Taunton or Leeds office)
- Opportunity to join the senior management team and influence business strategy
- Growing business with ambitious plans and genuine scope to make an impact
What you'll be doing:
- Acting as SMF16 (Compliance Oversight) and SMF17 (MLRO)
- Leading the firm's compliance, risk and financial crime functions
- Maintaining and enhancing the risk and compliance framework
- Overseeing compliance monitoring, file reviews and quality assurance activity
- Managing FCA reporting, regulatory engagement and regulatory change
- Providing guidance and support to advisers, management and the Board
- Delivering compliance and financial crime training across the business
- Producing Board and committee reporting on compliance, risk and Consumer Duty
- Supporting governance, SMCR and wider business initiatives
- Helping to shape a positive compliance culture across the firm
This is a hands-on leadership role. Whilst you'll sit on the senior management team and lead the compliance agenda, you'll also remain actively involved in monitoring, file reviews, adviser support, training and regulatory reporting.
What they're looking for:
- Previous experience within an IFA or wealth management firm
- Experience holding SMF16 and SMF17 responsibilities
- Strong understanding of FCA regulation
- Experience engaging with senior stakeholders and Boards
- A pragmatic, commercial approach to compliance
- Someone who is happy to combine strategic oversight with hands-on delivery
This is an excellent opportunity for an experienced compliance leader looking to join a growing business where they can have genuine influence, visibility and ownership.
Head of Compliance in Taunton employer: Recruit UK
Join a dynamic and growing firm as the Head of Compliance, where you will not only lead compliance initiatives but also have a direct impact on business strategy. With a competitive salary, generous benefits including a 5% employer pension contribution and remote working flexibility, this role offers a supportive work culture that values employee growth and development. Located with access to offices in Taunton or Leeds, you will be part of a senior management team that fosters a positive compliance culture and encourages hands-on involvement in shaping the future of the business.
