Job Description
Head of ComplianceLocation: Remote (occasional travel to South York)
A boutique, family-run wealth planning firm is seeking a Head of Compliance to join their growing team. This is a newly created role, offering the chance to shape and lead the compliance function within a well-established business that manages over £60 million in assets across 140+ individual clients.
The firm specialises in pensions and investments and prides itself on delivering exceptional client outcomes through a culture of integrity, collaboration, and continuous improvement.
About the Role:
As Head of Compliance, you will be responsible for ensuring the business remains fully compliant with FCA regulations and internal policies. You'll work closely with senior leadership to embed a strong compliance culture and provide strategic guidance across all areas of regulatory risk.
This role offers significant flexibility, with the option to work remotely most of the time, making it ideal for experienced compliance professionals seeking a better work-life balance.
Key Responsibilities:
- Develop and maintain the firm's compliance framework, policies, and procedures
- Monitor regulatory developments and ensure timely implementation of changes
- Conduct internal audits and compliance reviews
- Provide compliance training and support to staff
- Act as the primary point of contact for FCA-related matters
- Oversee client file reviews and ensure suitability documentation meets regulatory standards
- Support the business in maintaining ethical and professional standards across all client interactions
What We're Looking For:
- Proven experience in a senior compliance role within financial services (wealth management or IFA experience preferred)
- Strong understanding of FCA regulations and the financial planning landscape
- Excellent communication and leadership skills
- Ability to work independently and proactively
- High attention to detail and a commitment to ethical standards
What's on Offer:
- Competitive salary tailored to experience
- Flexible, remote-first working arrangement
- 25 days holiday plus bank holidays (increasing with service)
- Opportunity to shape a new function within a respected and growing business
- Supportive, values-driven team culture
