Compliance Manager, Management

Head of Compliance & Lead T&C Supervisor

Birmingham | Hybrid (3 Days Office / 2 Days Home)

£65,000 - £70,000 + Benefits

Are you an experienced compliance professional with strong SMCR, Training & Competence and Wealth Management experience?

We are recruiting on behalf of a growing financial planning firm seeking a Head of Compliance & Lead T&C Supervisor to take ownership of the firm's compliance framework and Training & Competence programme.

This is a senior leadership position working directly with the executive team and supporting the firm's SMF
16 and SMF
17 functions
, ensuring the business continues to meet its regulatory obligations whilst maintaining the highest standards of client outcomes, governance and adviser competence.

This position combines responsibility for the firm's compliance oversight framework with leadership of its Training & Competence scheme.

You will act as the central compliance figure within the business, providing regulatory guidance, overseeing compliance monitoring activity, managing regulatory risk and ensuring advisers remain competent, supervised and compliant under FCA requirements.

• Lead and oversee the firm's compliance function
• Support the firm's SMF
  16 (Compliance Oversight) and SMF
  17 (Money Laundering Reporting) responsibilities
• Maintain and enhance the firm's compliance monitoring framework
• Ensure ongoing compliance with FCA regulations, Consumer Duty and SMCR requirements
• Manage regulatory reporting, governance and risk management processes
• Oversee client file review activity and ensure regulatory standards are maintained
• Review regulatory developments and implement required changes across the business
• Produce compliance MI, board reports and annual compliance reporting
• Support regulatory interactions and FCA communications
• Manage relationships with external compliance providers and stakeholders
• Assist with regulatory due diligence relating to acquisitions and strategic projects

• Lead and maintain the firm's Training & Competence Scheme
• Work closely with SMF3 Supervisors to ensure adviser competence is appropriately monitored
• Conduct adviser oversight, competency assessments and supervision activities
• Oversee annual Fit & Proper assessments and certification processes
• Monitor SPS, CPD and ongoing competency requirements
• Deliver and coordinate regulatory training across the business
• Ensure robust T&C records, monitoring and management information are maintained
• Support the onboarding, supervision and development of new advisers

To be considered you will ideally have:

• Experience with in a senior compliance position in a Wealth Management or Financial Planning business
• Strong knowledge of FCA regulation, Consumer Duty and SMCR
• Demonstrable Training & Competence experience
• Experience conducting adviser supervision, competency assessments and file reviews
• Knowledge of financial promotions, AML, governance and regulatory reporting
• Level 4 Diploma qualification as a minimum
• Supervisory qualification desirable
• Strong communication skills with the ability to influence senior stakeholders

• £65,000 - £70,000 salary
• Hybrid working (3 days office / 2 days home)
• Senior leadership exposure
• Opportunity to influence the firm's compliance culture and regulatory framework
• Genuine ownership of Compliance and T&C activities
• Growing and ambitious wealth management business

For a confidential discussion regarding this opportunity, please apply today.