Head of Compliance

London | £100,000 - £150,000 + Bonus + Equity Participation + Comprehensive Benefits

An award-winning independent wealth management firm is seeking an experienced compliance professional to lead its regulatory, financial crime and risk oversight function.

This is a rare opportunity for an ambitious compliance leader looking to step into, or continue within, a senior SMCR role with responsibility for both SMF16 (Compliance Oversight) and SMF17 (MLRO). You'll work closely with the executive leadership team, helping shape business strategy while ensuring the firm continues to meet the highest regulatory standards.

The business advises private clients, charities and businesses across the UK and has developed a strong reputation for combining high-quality financial planning with responsible investment management. With a collaborative culture, strong values and a genuine commitment to positive social impact, this represents an opportunity to influence both commercial success and regulatory excellence.

The Opportunity

Reporting directly to the executive leadership team, you will take ownership of the firm's compliance, risk, AML and data protection framework, providing oversight across both financial planning and discretionary investment management activities.

You will act as a trusted adviser to senior stakeholders, steering regulatory strategy, managing FCA engagement and embedding a strong culture of compliance throughout the organisation.

Key Responsibilities

• Act as the firm's Compliance Oversight Officer (SMF16) and Money Laundering Reporting Officer (SMF17).
• Provide regulatory and risk oversight across financial planning and investment management operations.
• Lead the relationship with the FCA, including regulatory reporting, queries and thematic reviews.
• Chair Risk Committee meetings and provide regular updates to executive and board-level stakeholders.
• Deliver regulatory horizon-scanning, Consumer Duty oversight and board reporting.
• Develop and maintain the annual Compliance Monitoring Programme.
• Oversee financial crime, AML, sanctions and anti-bribery frameworks.
• Act as Data Protection Officer and manage GDPR-related requirements.
• Conduct thematic reviews, deep-dive assessments and compliance investigations.
• Manage financial promotions sign-off processes.
• Lead complaints investigations and engagement with the Financial Ombudsman Service where required.
• Maintain oversight of IFPR requirements, including ICARA and wind-down planning.
• Oversee Training & Competency arrangements, fit and proper assessments and regulatory training programmes.
• Manage quality assurance and file review processes across the advice business.
• Support major strategic and regulatory projects across the organisation.

About You

We're looking for an experienced compliance professional with a background in financial planning. Some investment management/DFM exposure would also be highly beneficial.

You'll likely have:

• Experience operating in a senior compliance leadership role within financial planning/wealth management.
• The capability and ambition to hold SMF16 and SMF17 responsibilities.
• Experience engaging directly with regulators and senior leadership teams.
• Exposure to IFPR, ICARA and regulatory reporting obligations.
• Excellent written communication and board reporting skills.
• Strong analytical and problem-solving capabilities.
• Experience presenting findings and recommendations to executive and board-level stakeholders.
• Level 4 Diploma qualified as a minimum.
• Progression towards Chartered status would be advantageous.

Why Join?

This is a unique opportunity to join a highly respected wealth management business at a senior level, combining strategic influence, board exposure and genuine autonomy. The successful candidate will play a pivotal role in safeguarding the business while helping shape its future direction and growth.

Additional information

Hybrid working with 3 days a week in the office.

Candidates seeking in excess of £120k FTE will be considered on a 4 day a week basis.