About the Role
The Deputy Head of Compliance is a senior leadership role that supports the Head of Compliance in overseeing and developing Progeny's compliance function. The role provides leadership across Compliance Advisory, Compliance Monitoring, Financial Crime and Complaints, ensuring effective regulatory oversight, robust controls, and positive customer outcomes.
Working closely with the Head of Compliance and Chief Risk Officer, the successful candidate will act as a trusted advisor to senior stakeholders, helping interpret regulatory requirements, manage compliance risks, drive continuous improvement, and promote a strong compliance culture across the business.
Key Responsibilities
- Support and deputise for the Head of Compliance, providing leadership across all compliance teams.
- Oversee the delivery of Compliance Advisory, Monitoring, Financial Crime and Complaints activities.
- Provide expert regulatory guidance and challenge on business initiatives, regulatory change and customer outcomes.
- Ensure effective compliance monitoring, issue management, remediation and governance reporting.
- Support the firm's financial crime framework, including AML, sanctions, fraud and related risks.
- Oversee complaints processes to ensure fair customer outcomes and regulatory compliance.
- Prepare reporting for senior management, committees and Boards, ensuring key risks are escalated appropriately.
- Support regulatory engagement, acquisitions, business change and continuous improvement initiatives.
- Drive efficiencies through technology, automation and responsible use of AI.
What we are looking for
- Significant compliance experience within FCA-regulated financial services, ideally wealth management, financial advice or asset management.
- Strong knowledge of FCA regulations, including Consumer Duty, SM&CR, SYSC, COBS, DISP and financial crime requirements.
- Experience leading compliance teams and advising senior stakeholders.
- Strong governance, risk management and stakeholder engagement skills.
- Excellent communication skills with the ability to translate complex regulations into practical business solutions.
Desirable Experience
- Professional qualifications such as CII, CISI or ICA.
- Experience across multiple compliance disciplines, including monitoring, advisory, financial crime and complaints.
- Exposure to regulatory change, acquisitions, integration projects and compliance technology.
Success in the Role
Success will be measured by maintaining a well-coordinated compliance function, delivering high-quality regulatory advice and assurance, identifying and managing risks proactively, supporting effective governance, and developing a culture of accountability, collaboration and continuous improvement.
Deputy Head of Compliance Manager in Leeds employer: The Progeny Group
As a Tax Manager at our firm, you will thrive in a supportive and collaborative work culture that prioritises employee growth and development. With hybrid working options available in our Leeds, Worthing, or Exeter offices, you will enjoy a flexible work-life balance while delivering high-quality personal tax compliance services to a diverse portfolio of high-net-worth clients. Our commitment to excellence is matched by our dedication to fostering strong client relationships and providing ongoing training for junior team members, making this an ideal environment for those seeking meaningful and rewarding employment.
